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.
Schedule ConsultationRelated Services
Explore Our Other Services
01 / 02
01 / 02
Related Insights
From the SMAART Blog
CFO Services
The Annual Budget Process That Actually Works for Small Business
Most small-business budgets fail the same way, they are built in December, reviewed in January, and forgotten by March. A budget that actually shapes decisions through the year follows a different structure: bottom-up construction, quarterly reforecasting, and explicit variance review every month.
Read Article
Accounting
Choosing the Right Accountant for Your Small Business: A Practical Framework
The right accountant is not the cheapest or the most credentialed, it's the one whose capabilities match your business's needs at your current stage. A mismatch is expensive in both directions: undersized capability costs you opportunities, oversized capability costs you fees.
Read Article
CFO Services
Unit Economics for Small Business: How to Know If Each Sale Actually Makes Money
Unit economics is the discipline of measuring whether each individual sale, each customer, each project, each product, produces profit after its full cost of delivery. The analysis exposes which parts of the business are funding which other parts, and most small businesses find surprises the first time they run it.
Read Article