Manager Controls

IT Auditor SOX Compliance

Professional Summary: Expertise is in the documenting of Internal

Controls.

Examination of Financial, Accounting, and IT Controls, as related to

SOX standards.

Extensive and recent experience with SOX, documenting and testing the

controls.

Proven track record of improving the Internal Controls within

organizations,

both IT and Financial controls.

Professional IT Internal Auditor SOX Compliance Expertise

Internal Controls Specialist.

aka: IT Auditor, Internal IT Auditor, IS Auditor, Internal IS Auditor,

Audit Consultant,

Internal SOX Auditor, SOX IT Auditor, SOX IT Testing

Auditor/Manager.

Understands the concepts of "Corporate Governance", COSO, COBIT

PCAOB Auditing Standard No. 5 (AS5), An Audit of Internal Control Over

Financial Reporting.

Realizes the importance of the SEC's "The Quality of Financial

Reporting".

Has worked with the ITGI's "IT Control Objectives for Sarbanes-

Oxley".

. Deals with the gathering and the index of large amounts of data and

documentation.

. Experienced in the documentation of Internal Controls in

accounting/financial systems.

. Experienced in the documentation of Internal Controls in computer

systems.

. Knows change control problems and how to solve them.

. Has performed General Controls audits and Application systems audits.

. Have soft (people) skills, which is vital for working with the C-level

executives.

. Possesses the certifications and the correct -unique set of skills for

this task.

Experience with the Big 4: As an Internal Auditor, has on many occasions

worked directly with the external auditors: the Big 8, the Big 4, the CPA

firms, global firms, regional firms, many service firms.

Big 8: Arthur Andersen, Coopers and Lybrand, Deloitte Haskins and Sells,

Ernst and Whinney, Peat Marwick Mitchell (later KPMG Peat Marwick), Price

Waterhouse, Touch Ross, and Arthur Young.

Big 4: PricewaterhouseCoopers (PwC), Deloitte (Touch Tohmatsu), Ernst &

Young, and KPMG.

PROFESSIONAL CERTIFICATES and EDUCATION

CIA Certified Internal Auditor

INSTITUTE of INTERNAL AUDITORS (IIA)

CISA Certified Information Systems Auditor

INFORMATION SYSTEMS AUDITING and CONTROL ASSOCIATION (ISACA)

MBA Masters of Business Administration, Concentration in Accounting

EASTERN NEW MEXICO UNIVERSITY (ENMU), Portales, NM

PROFESSIONAL EXPERIENCE

SOX

Self Employed as Independent Consultant Dallas, Texas Jan

13, 2006 - present

. Semi-Retired. Extensive volunteer activities.

. Government agency - SOX tester.

. FUJITSU, documenting processes in preparation for J-SOX (heavy

process mapping).

HONDA Torrance, California Late Sept 2005 to

Jan 13, 2006

. Documenting corporation's compliance to SOX (JSOX) standards.

. Assisted in developing audit plans, documentation projects, testing

and remediation.

. Conducted various technical reviews.

I-FLOW CORP. Lake Forest, California.

Sept 2005

. Solo responsibility for the documentation of SOX level controls.

. Review of the Tijuana, Mexico plant and operations.

. Reviewed and documented General Controls and Application Controls.

DOREL JUVENILE GROUP Columbus, Indiana Nov 29, 2004 -

Dec 10, 2004

. Solo responsibility for the documentation of SOX level controls.

. Reviewed the IT documentation for SOX compliance (404 assertions).

. Wrote extensive recommendations for future compliance action.

ASHFORD HOSPITALITY TRUST Dallas, Texas Aug 13, 2004 -

Aug 20, 2004

. Worked closely with Director of Internal Audit for Sarbanes-Oxley

compliance audit.

. Used Visio, Excel to complete Design Effectiveness/Operational

Effectiveness (testing).

. Very Large REIT, Hotel management, worked on-site.

PROFESSIONAL EXPERIENCE

SOX

RAYTHEON Intelligence and Information Systems, (Garland), TX May

03, 2004 - July 30, 2004

. Worked as an IT Auditor and Internal Controls Specialist,

for the Information Technology Department of a very

large defense contractor.

. Prepared the documentation (Design Effectiveness) of the IT Department

for the upcoming Sarbanes-Oxley audit of Internal Controls compliance.

. Worked on-site, in a highly secret/secure government establishment.

PROFESSIONAL EXPERIENCE

(PRIOR TO SOX)

SALLY BEAUTY COMPANY Denton, TX. Aug 2000

- Sept 2001

. Manager, IS AUDIT, Conducted and completed many IS Audits.

. Conducted several POS System audits.

. Performed extensive work on the Business Continuity Plan.

Self Employed Consultant and Independent Contractor Dallas, TX.

Sept 1997 - Aug 2000

. Miscellaneous projects.

GREYHOUND (BUS) LINES Dallas, TX. Sept

1996 - Aug 1997

. Sr. Information Systems Auditor, worked in a client server, multi-

platform environment.

. Conducted IS Audits of new systems - under development.

. Oversaw system conversion to Oracle A/R A/P accounting system.

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