Quality Assurance Accounting
Resume:
Kenneth L. Glascock, MBA, JD, CPA
Plano, TX 75025
Talented financial executive – excels at creating, leading, and retaining peak performing teams
CFO, CML Metals 2010-Present
Oversee all accounting, financial, and legal operations of PE owned mining export company
(annual revenues exceed $50 million). Responsibilities and accomplishments include:
• Financial statement preparation
• Annual audit coordination
• Commodity hedge and derivative accounting
• Depletion accounting
• Cash management
• Negotiation and administration of a $45 million multi-national credit facility
• Contract review and negotiation
• Accounts payable and receivable management
• Budgeting
• Cost accounting
• Export Letters of Credit
• GL system conversion
• Human resource & benefits management
United Western Bancorp / United Western Bank 2008 - 2010
SVP, Internal Audit & Sarbanes Oxley Compliance
Financial, operational, IT audit, regulatory and Sarbanes-Oxley compliance for $2.4 billion multi-
branch publicly traded bank holding company. Audit universe of included: Trust Subsidiary,
Broker-Dealer, and Mortgage Lending Warehouse.
• Independent reporting to two external Audit Committees
• Performed Annual Risk Assessment
• Created Annual Audit Plan
• Recruited & trained audit staff
• Owned SOX 404 test plan
Nordstrom Credit Inc. 2001- 2008
Director, Internal Audit – financial, operational, compliance, and IT audits of captive credit
subsidiary, including two call centers. Sarbanes-Oxley & ERM oversight.
Achievements
Doubled quantity of audits performed annually with no staff turnover in four years
Achieved Audit Plan for 27 consecutive quarters
Required staff to identify cost-savings and process improvements to earn merit increases
Introduced computer assisted audit techniques (CAATS) using ACL & Business Objects
Jefferson Wells International 2000 - 2001
Director, Information Security Services
Seven direct reports
Led IT Audit practice for the Colorado region
Kenneth L. Glascock
RSM McGladrey Inc. 1993 - 2000
McGladrey & Pullen, LLP CPAs & Consultants
Senior Manager - Practice Leader, IT Audit & Business Continuity Planning
RSM McGladrey is the 5th largest public accounting firm.
Scheduled and managed IT audits for the Firm’s national client base of banks, credit unions,
and diversified financial companies (including both attestation and consulting engagements)
Led team of 20 professionals in delivery of Business Continuity consulting and software
services to public and private sector clients
Championed development of two audit databases as productivity enhancement tools
Franklin Templeton (SAS70 Client) St. Petersburg, FL/San Mateo, CA
5th Largest Mutual Fund Company
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Managed SAS70 Audit of Transfer Agency (SAS 70) 1994-1999
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IT Audits focused on systems development, change management,
computer operations, and general (entity level) controls
Testing included: distributions, redemptions, exchanges, 12b-1 fees
Performed quality assurance audit of SunGard (a Franklin Templeton
vendor)
General Electric Company (Dallas, TX) 1984 - 1988
Credit Representative
Reviewed and set credit limits annually for a portfolio of commercial accounts based upon
Dun and Bradstreet reports, Moody’s, trade references, and customer financial statements
Collected accounts, resolved disputes, and negotiated settlements within a ten-state region
Improved process of identifying and applying misdirected payments between business units
Education
University of Utah College of Law (Salt Lake City), J.D., (1993)
Emphases in commercial, tax, employment, and labor law
Honors: fall 1992, spring 1992, fall 1991
University of Texas (Dallas), M.B.A., (1989)
Finance concentration, overall GPA 3.46
Nine semester hours in accounting, (GPA 3.66)
University of Colorado (Boulder), B.S., (1982)
Business Administration, overall GPA 3.60
Kenneth L. Glascock
Certifications
CPA – Colorado license
CIA – Certified Internal Auditor
CISA – Certified Information Systems Auditor (inactive)
CBCP – Certified Business Continuity Professional (inactive)
CISSP – Certified Information Systems Security Professional (inactive)
Accredited in Internal Assessment Validation – Institute Of Internal Auditors
License Admitted to Minnesota Bar (1993)
Leadership Board of Governors – IIA Denver (2003-2006)
Center for Creative Leadership – Leadership Development Program (2007)
Published IT Security – Bank Director Magazine (Q2 2010)
Internal Audit ROI – Bank Director Magazine (Q4 2009)
Reaching A Higher Level – Internal Auditor (February 2007)
A Seat At The Table – Internal Auditor (June 2006)
That’s Privileged Information - Internal Auditor (August 2005)
Auditees or Clients? - Internal Auditor (August 2002)
Speaking Bank Audit Director Conference – Chicago (2010)
IIA Financial Services Conference – Boston (2006)
IIA Los Angeles Chapter (2005)
Professional Award Outstanding Contributor - IIA Internal Auditor (2006)
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