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Financial Control, Sox Audit & Accounting Compliance Manager (consultant) Resume

4.00 Rating

San, FranciscO


CPA, Big Four, External/Financial Audit, SOX Audit, Integrated Audit, Project Management, Internal Audit, ICFR, SOX 404 Implementation & Compliance, Internal Control, New COSO IC Integrated Framework & Implementation, Top - Down Risk- Based Assessment, Confidential Management Guidance, SOX PMO, Business Process Improvement & Documentation, Control Rationalization, US GAAP, US GAAS, Confidential Financial Reporting ( Confidential Forms 10-K, 10-Q, 8-K, S-1, S-3), AICPA & PCAOB Auditing Standards, AS5, SAS 130, SSAE 16/SAS 70 (SOC 1), SOX 302 & 906 Executive Certification, Fraud Risk Assessment, ITGC & Application Controls, Technical Accounting Research, Revenue Recognition, Audit Prep Coordination


Microsoft Office Suites (Word, Excel, PowerPoint, Outlook, Visio), MS SharePoint, BlackLine Financial Close Management Systems, RSA Archer GRC Platform, IBM OpenPages GRC Platform, Lotus Notes, Oracle, SAP Business One, JD Edwards, NetSuite, Lawson, QuickBooks, ProSystem fx Engagement and Practice Management, PPC’s Checkpoint Tools.


Confidential, San Francisco

Financial Control, SOX Audit & Accounting Compliance Manager (Consultant)


  • Specialize in providing business risk advisory consulting services such as internal control over financial reporting (ICFR) documentation assessments and reporting for management (SOX 404), regulatory compliance, risk assessment and control enhancement, business process documentation and improvement, and other internal audit services in the business process side, as well as accounting services in the areas of audit readiness and coordination, technical/accounting research and memo, accounting policies/procedures, account reconciliation review/analysis, revenue recognition, and financial close optimization.
  • SOX/Internal Control subject matter expert and experienced in assisting clients in or performing SOX compliance procedures. Integrates entity level, business process and IT controls to make the most of key controls and maximize external auditor’s reliance on internal testing to reduce redundancy and increase efficiency, thus ultimately cutting down the cost of compliance.
  • Contracted by several accountings, risk advisory and management consulting firms as an external/outside consultant to work on mostly SOX and other internal control or internal audit consulting projects requiring years of progressive experience and subject matter expertise

Confidential, San Francisco, California

Consulting Supervisor, Risk Advisory Services - SOX/Internal Audit


  • Responsible for coordinating and supervising the day-to-day execution of SOX 404 and internal audit engagements for clients in various industries using RSM’s internal audit methodologies.
  • Led the overall project management activities for SOX 404 and internal audit engagements including status updates and communication clients and the executive team.
  • Designed and executed tests of controls; analyzed the adequacy and operational effectiveness of processes and controls; and developed creative and practical recommendations for improvement that addressed identified risks.

Confidential, San Francisco, California

Manager, Assurance and Audit Services


  • Responsible for managing multiple financial statements audits, including reviews of annual and quarterly financial information (i.e., Confidential Forms 10-K/10-Q) and audits of internal control over financial reporting (ICFR) for public companies’ subject to internal control reporting requirements of SOX, and other consulting projects (e.g., SOX 404 Implementation and Compliance Outsourcing) simultaneously, scheduling, staffing and coordinating engagements’ workflow.
  • Promoted twice from Audit Senior to Supervisor and finally to Manager in a short span of eighteen months after joining the Firm while completing all four parts of the CPA Exam at the same time, a professional milestone achievement demonstrating executive presence, leadership, technical skills and dedication to work
  • Strong knowledge of internal control concepts such as New COSO Integrated Internal Control Framework (including implementation and compliance with SOX), PCAOB Auditing Standards 5 (AS5), Confidential Management Guidance, SOX 404 internal control reporting requirements, top-down risk-based assessment, third-party attestation (SSAE 16/SAS 70 Type II), SAS 73 (Using the Work of a Specialist), IT general and application controls.
  • SOX 404/internal control expert with experience as the manager-in-charge (SOX Project Manager) on the SOX Internal Control Outsourcing services engagement starting from year one and thereafter.
  • Provided subject matter expertise, project management and resources, technical and business review to support consulting client’s annual management assessment of the effectiveness of its internal control over financial reporting and SOX 404 compliance efforts.
  • Furthermore, as a valued-added by-product service considered to be out-of-scope and therefore additional revenues to the Firm, assisted client management in developing test plans designed for evaluating operational effectiveness and efficiency of its newly acquired then foreign subsidiary’s business operations .
  • Strong technical accounting and auditing knowledge (GAAP/GAAS), as well as performing research on emerging technical accounting issues relevant to audit clients.

Confidential, San Francisco, California

Experienced Audit Senior/Audit Senior II, Assurance and Advisory Business Services (Core Audit)


  • Directly responsible for handling the day-to-day execution of client engagements, such audits of financial statements and audits of internal control over financial reporting (SOX audit) for public companies subject to the internal control reporting requirements of the Sarbanes-Oxley Act Section 404 (SOX 404) and interim financial statements reviews of Confidential clients ( Confidential Form 10-Q), from planning to conclusion, while supervising staff auditors and providing them with on-the-job training, technical guidance and informal coaching.
  • Participated in the Firm’s Practice Rotation Program through the Business Risk Services (BRS) practice group with the multi-location SOX 404 Internal Control Outsourcing engagement. As a member of EY’s SOX consulting team, successfully assisted client management in ensuring that the company and all of its operating subsidiaries become SOX compliant in its first year of implementation, and provided IA services such as Balance Sheet audits and coordinated Physical Inventory Counts for multiple locations in the Southern California region for one of the Company’s business units.
  • As an experienced audit staff, selected by the executive audit team amongst peers in the audit team to work on the IT SOX audit portion of the integrated audit of financial statements (i.e., IT General and Application Controls testing and walkthroughs of systems and processes) on an Confidential audit client engagement.

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