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SARBANES-OXLEY COMPLIANCE KNOWLEDGE & EXPERTISE
Examination and Assessment of Internal Controls
- risk assessment/management and compliance audit program development
- scoping and planning (significant accounts (re materiality/fraud risk), accounting judgements, disclosures, representations)
- internal control management processes (all business processes/cycles, compliance testing, management signoff)
- integration of internal control/internal audit and Sarbanes Oxley requirements
Examination of Responsibility Distribution and Reporting Requirements
- global operations and local operating company (international experience)
- stakeholder group and Audit Committees (partnering with both internal and external auditors)
- employees (e.g., division, department, functional area, strategic partners and 3rd-party providers)
Examination of Internal Financial Controls
- entity level risks and controls (including standards, policies, and operating procedures, codes of conduct etc.)
- business cycles/processes (payroll, financial close, inventory, treasury, tax, fixed assets, expenditure, revenue)
- financial reporting risks and controls (including 3rd party providers, plus segregation of duties analysis)
- IT application and general controls (including end-user computing and legacy applications)
- anti-fraud programs
- protection of intellectual property
- business continuity/resumption planning
Risk Management (for legal entity, enterprise and area-specific risks)
- internal control framework (COSO, CoBiT, Bill 198)
- identification and analysis; risk library maintenance
- actual vs. desirable controls; prevent vs. detect controls; manual vs. automated controls
- deficiency remediation project plans and status monitoring
- audit preparation; responses to auditor findings
- ongoing management of related risks (integration of Internal Control/Internal Audit and SOX activities)
Design and quality assurance review of Internal Audit Plans and Programs (SOX, Bill 198)
- IT Audit Plans
- SOX and other regulatory compliance Aadit plans
- Operational Audit Plans
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OTHER BUSINESS EXPERIENCE & SKILLS
Access
Account Management
Administration
Analysis
Application Development
Application Support
AS/400
Audit Programs/Risk Universe
Banking
Bill 198
Billing Systems
Brokerage
Budgeting
Business and Area Analysis
Business Case Development
Business Process Evaluation
Business Process Reengineering and Automation
Call Centre Development
Change Management
CICS
Client/Server Systems
Cobol
Cognos
Corporate Communications Planning, Development and Execution
Corporate and Small Business Consulting
Corporate Governance
CobiT Framework
COSO Framework
Course Development
Crystal Reports
Customer Relationship Management
Customer Service and Support
Data Analysis/Modelling
Data Warehouse
Database Design
Disaster Recovery
Document Management
Documentation
Dreamweaver
eBusiness and eCommerce
Electronic Data Interchange
Event & Meeting Management
Excel
Exchange
Facilitation (project, executive and management teams)
Financial Applications
Functional Specification Development
Graphic Design
GUI Design/testing
Healthcare
Help Desk
HTML
Human Resources
IMB DB
Information Marketing
Insurance (Group, Individual Life, Pension Systems)
Integration
Intellectual Property Development/Management
Internal Audit
Internal Controls
Intranet/Internet Development
JAD Planning and Facilitation
JDE/JDE OneWorld
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Large scale/multi-stakeholder projects
Leadership
Lean Six Sigma
Life Insurance
Local Area Networks
Lotus Notes
Mainframes (IBM, Burroughs, Tandem)
Manufacturing
Marketing
Methodologies
MS Office/Windows
Migration Planning
Mutual Funds
MVS/JCL
Network Security
Novell Netware
NT/NT Server
Object-Oriented Design/Programming
Operations Management
Oracle
Peoplesoft/HR/Payroll
Performance Measurement
Process and Data Mapping
Procurement
Product Development
Program Design and Management
Project Management
PMO/Governance
Quality Assurance and User Acceptance Testing
Regulatory Compliance
Relational Databases
Relationship Management
Remedy
Reporting Tools
Report Specification
Requirements Analysis
Retail
RFP Preparation
Risk Management
RPG/400
Sales
Sarbanes Oxley
Scope and Functional Requirements Documentation
SDLC Knowledge
Securities
Security
Services Marketing and Communications
Service Level Agreements
S/W Development, Marketing and Support
SQL/SQL Server
SOPs/Policies
Strategic Planning
Structured Methodology
SUN OS
System Integration
System Analysis
Technical Writing
Test Planning and Execution
User Support
Visual Basic
Vendor Management
Visio
VSAM
Web Design and Development
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