Advisory
Business Consulting
Strategic guidance to help your business navigate challenges and seize opportunities for growth.
Learn MoreAUDIT & ASSURANCE
Compliance Audits
Bulletproof verification that your operations strictly adhere to regulatory mandates.
Eradicate Regulatory Risk Automatically
Operating in a heavily regulated industry means a single compliance failure can trigger operational shutdowns, massive fines, or loss of licensure. Whether you are navigating SEC guidelines, specialized federal grants, or strict industry bodies, internal confidence is not enough-you need independent proof.
SMAART Company conducts exhaustive compliance audits. Our assurance division stress-tests your internal controls, verifies adherence to statutory requirements, and issues formal reports validating that your operational mechanics are legally airtight.
Core Directives
Risk Elimination
Licensure Protection
Operational Discipline
Operational Milestones
01
Scoping
We define the exact regulatory framework to test against, from federal statutes to specialized industry codes.
02
Testing
Our auditors deploy deep substantive testing, pulling transaction samples to verify controls are actively functioning.
03
Reporting
We issue a formal compliance opinion, alongside a Management Letter detailing exact steps to fix any identified weaknesses.
Included Services & Outcomes
Single Audits (OMB Uniform Guidance)
Employee Benefit Plan Audits (ERISA)
HOA / COA Statutory Compliance Reporting
Grant Funds Allocation Auditing
Internal Control Documentation (SOC Readiness)
Don't Wait for the Regulator
Surprise inspections destroy value. Pre-emptive compliance auditing protects your enterprise.
FAQ
Questions &
Answers
Get answers to the most common questions about our compliance audits services.
Federal law requires companies with over 100 eligible participants in their 401(k) or health plan to submit an independent audit of the plan's financials to the Department of Labor.
Yes. Nonprofits receiving significant federal funding are legally required to undergo distinct compliance testing known as a 'Single Audit', which our firm executes regularly.
Most compliance audits run 4 to 8 weeks from planning through report issuance. ERISA plan audits typically complete in 4 to 6 weeks. Single Audits for federal grant recipients run 6 to 10 weeks depending on grant volume and complexity.
Fixed engagement fee quoted before fieldwork begins, based on scope, participant count (for ERISA), federal award volume (for Single Audits), or regulatory framework. You know the total cost before we start, no hourly surprises.
All working papers, supporting documentation, and audit evidence sit inside our SOC-aligned document environment with access restricted to the engagement team. Retention follows full regulatory requirements, typically 7 years minimum for ERISA and Single Audit workpapers.
Solidify Your Compliance
Ensure your operations meet every standard. Schedule a compliance scoping session with SMAART today.
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