SOC2ISO27001

Check SOX Control Mapper — Compliance Automation

Compliance teams monitor regulations across multiple jurisdictions. Manual checking creates gaps and increases regulatory risk.

18
Fields Extracted
300s
Max Processing
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What This Template Does

AI-powered extraction using gemini-2.5-flash. Part of 113 production-ready templates.

Capabilities

  • Regulatory Check
  • Risk Scoring
  • Audit Trail
  • Audit
  • Risk

Output Schema

{
  "$schema": "http://json-schema.org/draft-07/schema#",
  "title": "SOX Control Mapper",
  "description": "SOX Control Mapper: Map narrative to SOX control framework IDs.",
  "type": "object",
  "properties": {
    "process": {
      "type": "string",
      "description": "Process"
    },
    "control_id": {
      "type": "string",
      "description": "Control id"
    },
    "control_description": {
      "type": "string",
      "description": "Control description"
    },
    "control_owner":
...

Quick Start

$ pip install doclayer
$ doclayer process document.pdf --agent compliance.sox-control-mapper

See It In Action

Real extraction example showing input document and structured output.

Input Document
SOX CONTROL DOCUMENTATION
==========================

Control ID: FIN-REV-001
Document Version: 3.2
Effective Date: January 1, 2024

CONTROL INFORMATION
-------------------

Process: Revenue Recognition
Sub-Process: Monthly Revenue Close
Control Owner: Sarah Mitchell, Senior Finance Manager
Backup Owner: James Chen, Finance Controller

CONTROL DESCRIPTION
-------------------

Monthly reconciliation of revenue accounts to ensure accuracy and completeness of recorded revenue. This control requires
Extracted Data
{
  "process": "Revenue Recognition",
  "control_id": "FIN-REV-001",
  "control_description": "Monthly reconciliation of revenue accounts to ensure accuracy and completeness of recorded revenue against source systems (CRM, billing platform, bank statements)",
  "control_owner": "Sarah Mitchell, Senior Finance Manager",
  "testing_frequency": "Quarterly",
  "control_type": "Detective",
  "risk_level": "High",
  "evidence": [
    "Revenue reconciliation workbook",
    "Management approval signature",
    "Variance investigation memos",
    "Source system reports",
    "Adjusting journal entry support"
  ],
  "document_type": "sox_control_mapping",
  "company": null,
  "assessment_period": null,
  "total_controls": null,
  "implemented_controls": null,
  "missing_controls": null,
  "control_deficiencies": null,
  "overall_rating": null,
  "key_deficiencies": [],
  "remediation_timeline": null
}

Single revenue recognition detective control (FIN-REV-001) with high-risk classification. Demonstrates control documentation mapping to COSO framework with testing procedures, quarterly effectiveness assessment marked as strong, and related control linkages.

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Frequently Asked Questions

What documents can SOX Control Mapper process?

The SOX Control Mapper template processes compliance documents including various formats and layouts. See the instructions for specific document types supported.

How accurate is the SOX Control Mapper extraction?

The SOX Control Mapper template uses Gemini 2.5 Flash for high-accuracy extraction. Results include confidence scores for each field.

Can I customize the SOX Control Mapper template?

Yes, you can modify the extraction schema, add custom fields, or adjust the instructions to match your specific requirements.

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