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Risk and Control Advisory LLC

Risk Management Consultants

Fractional Risk and Control Resources

Why choose a Fractional Internal Audit, SOX Compliance or Risk Management Director?

Executive-Level Expertise - Get 20+ years of audit, SOX, risk management and compliance experience - at the fraction of the cost a full-time director.

Cost-Efficient Risk Management - Avoid the high overhead of permanent hires while keeping your environment audit-ready and compliant.

Scalable Engagement - Need 8 hours per week? 3 days per month? Project completed on time? Scale up or down based on your business lifecycle and audit needs. Engagements typically range from 1 to 5 days per month.

Seamless Integration - We partner with your finance, accounting, IT, compliance or risk teams as an extension of your leadership team - not just a contractor.

Who needs this service?

You're a perfect fit if your company is:

Preparing for SOX Compliance or an IPO

Recovering from internal control failures or audit findings

Experiencing rapid growth that outpaces your controls

In a regulated industry with evolving landscapes

A PE-backed or portfolio needing mature governance

Our Engagement Packages

We offer flexible, milestone-driven service tiers:

Startup Readiness Package (ideal for early-stage or newly funded companies)

Initial risk assessment and control gap analysis

Light-touch control framework development

Audit Committee Charter and reporting structure set-up

Policies and procedures documentation (financial, operational and IT)

Delegation of Authority development

Quick-start internal audit roadmap tailored to growth plans

Growth-Stage Audit Support (for rapidly scaling companies or pre-IPO readiness)

SOX/ICFR readiness planning, including ICFR program activities, controls development and 12-24 month pre-IPO roadmap

Internal control documentation and walkthroughs

Controls testing oversight, documentation collection, testing methodology review and independent testing compliance oversight

Coordination with external auditors and internal stakeholders

Staff training on audit readiness, process ownership and documentation requirements

Risk and Control Matrix development and maintenance.

Mature Enterprise Support (for established or regulated businesses)

Full internal audit plan development and execution

Audit Committee reporting and board presentations; reporting and coordination of company response actions to Committee requests

Implementation, oversight and/or reporting of Internal Controls software

Enterprise Risk Management (ERM) development and alignment to stakeholders and risk owners

Quality Assurance and Improvement Plan development and monitoring

Control reduction and automation strategies to address material risks

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