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.