Helping a Global Transit Leader Achieve Seamless SOX & Multi-Regulatory Compliance

Following an internal review, the company identified significant gaps in its Sarbanes-Oxley Act (SOX) compliance framework. Their existing hybrid approach—relying on both manual and automated processes using two separate tools—resulted in inefficiencies, information silos, and difficulty tracking compliance status. The lack of a centralized system for managing SOX assessments led to delays, inconsistencies, and increased workloads for compliance teams.

In addition to SOX, the organization needed to adhere to other regulatory frameworks, such as ISO 27001 and NIST 800-53. Running separate assessments for each regulation created duplication, inefficiencies, and increased audit fatigue.

Challenges
The company faced several challenges:

1. Siloed Compliance Processes – Disconnected systems made tracking SOX and other regulatory workflows cumbersome.

2. Manual Data Handling – Spreadsheets and email-based notifications slowed communication.

3. Limited Visibility – Lack of dashboards hindered executive oversight and risk mitigation.

4. Audit Inefficiencies – Non-compliance issues were difficult to track and remediate in a timely manner.

5. Redundant Assessments – Compliance teams had to run separate assessments for different regulations, increasing workloads.

Solution: TruOps Integrated GRC Platform

To streamline and enhance compliance across multiple frameworks, the client partnered with TruOps. Our team conducted a comprehensive evaluation of their existing processes, identifying opportunities for automation and workflow optimization. The company deployed two key TruOps modules:

• Compliance Management – Automated assessments, real-time tracking, and improved visibility into SOX, ISO 27001, NIST 800-53, and other regulatory requirements.

• Issues and Exception Management (IEM) – Streamlined issue remediation, reducing compliance gaps and improving audit readiness.

• Unified Controls Framework – Allowed the client to map and assess controls across multiple regulations without redundant assessments.

The Results: Transforming Multi-Regulatory Compliance Efficiency

With TruOps, the client achieved significant improvements in compliance workflows, risk management, and operational efficiency.

Key Outcomes:

60% Reduction in Workload – Automated SOX and multi-regulatory assessments significantly cut down manual work.

50% Increase in Compliance Team Efficiency – Streamlined risk and compliance processes allowed teams to focus on strategic initiatives.

Enhanced Executive Oversight – Real-time dashboards provided leadership with a clear view of compliance risks and corrective actions.

Centralized Compliance Management – A single repository for testing documents and evidence improved audit readiness.

Automated Notifications & Reporting – Eliminated manual intervention, ensuring timely updates to key stakeholders.

Scalable & Configurable Controls – Over 200 compliance questions implemented, allowing seamless alignment across multiple regulatory requirements.

Unified Assessments – Eliminated redundant testing for different regulations by leveraging a single control framework.

By leveraging TruOps’ GRC platform, the client successfully modernized their SOX and multi-regulatory compliance framework. The transition from fragmented, manual processes to an integrated, automated solution empowered the compliance team to operate with greater agility and accuracy. As a result, the organization significantly improved its audit readiness while reducing compliance overhead.

TruOps has helped leading enterprises streamline compliance across multiple regulatory frameworks. Get in touch to begin your GRC transformation.