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Sarbanes-Oxley Reports Become More Extensive and Accurate

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  • The team is responsible for all SOX audits, which are completed in-house at the bank.
  • It was using a combination of Microsoft® Word, Excel, and Visio, and TeamMate® to track its interim testing and create status reports for management. Every time a change was made, the team had to correct all the individual files and charts—losing valuable work time.
  • Certifications were time consuming to put together and manage. They were built in Word and sent via email with supporting documents like the risk control matrix and flowcharts attached.
  • A manager had previous experience with Wdesk and was eager to use the SOX solution. 

Why Wdesk works for the SOX team

  • The chief internal auditor approved the switch to Wdesk after attending multiple demonstrations and getting feedback from another major financial institution about the benefits of Wdesk.
  • Nearly all of the company documents and workbooks were transferred into Wdesk by Workiva staff, which meant the team could continue working uninterrupted during the conversion process. The company was impressed with the three-week turnaround time.
  • Master documents are edited by multiple teams at once and managers easily monitor team progress. Consolidating files helps the team to find information quickly when putting together dashboards.
  • The team is able to call in with its Wdesk questions and receive immediate assistance. Its Customer Success Manager is always on call to help the team implement more efficient practices.
  • Because controls and other information are linked, employees have more time to do an in-depth analysis of their process. They no longer spend time updating individual documents and copying and pasting new information.
  • One benchmarking document helps the team see that every risk is covered by a control. This file is almost completely made up of links and helps identify key risks more efficiently.


  • When someone asks about using Wdesk, the audit manager says, "Whatever you are doing in Microsoft Office®, you can do the same thing in Wdesk, but you have the option of linking everything together."
  • With Wdesk, time is used more efficiently because many functions can be automated by linking information. Risk assessments are completed quickly to allow for a faster testing process.
  • It's easy to consolidate documents and create dashboards, so the audit team can see where it is in the process as a whole.
  • The audit team feels secure knowing that its documents are linked together to avoid any confusion over inconsistent data for others accessing the reports. It has taken advantage of linking everything from the latest statistics to chart titles.
  • Because Wdesk is a cloud-based platform, the company saves money by simply providing login information to grant others access to company documents, rather than distributing computers to gain access to the company servers.


Word, Excel, Visio, PowerPoint, and Microsoft Office are registered trademarks of Microsoft Corporation in the United States and/or other countries.
TeamMate is a registered trademark of Wolters Kluwer Financial Services, Inc.


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