Shirley L. Email & Phone Number

California, United States

Direct and execute overall Internal Audit and SOX functions, including Enterprise Risk Management, SOX Program Management, and Cross-Functional Business Process Driven Advisory.

As IA/SOX Director, I spearheaded the company's initial SOX program, with complete program management from planning, scoping, process documentation, control walkthrough, testing, and year-end evaluation. I set up the company's internal control structure and educated cross-functional stakeholders on the importance of internal control. I also implemented audit tools for audit efficiency and productivity. I built a multi-cultural, international team for IA/SOX project execution.

San Francisco, Ca

As Director of Internal Audit, I headed and managed company’s corporate governance programs, including whistleblower policy, code of conduct, FCPA, conflict minerals, and supplier code of conduct. I administered SOX compliance to protect shareholders and general public from accounting errors and fraudulent practices as well as attained external audit’s trust on company’s SOX work. Utilizing key skills and knowledge, I defined and set up company’s internal audit function and associated first internal audit charter and annual IA plan that aided in rationalizing complete governance, risk, and compliance approach.

I updated annual risk assessment and internal audit plan to assure compliance with COSO and IIA-IPPF. I maintained finance committee up-to-date with new accounting pronouncements and advised on revising internal accounting policies. I executed overall audit functions, including risk management, control management, and financial reliability assessment. I analyzed accounting documents, prepared detailed reports reflecting audit results, and documented the recommendations.

I coordinated with key stakeholders and outsourced vendor contracts to reduce abruption in subcontracted accounting activities. I headed compliance audit for channels sales, including identify reseller sales model, measure risks associated with revenue, determine contract compliance, and improve visibility on channel sales. I led risk assessment, arranged audit program, analyzed efficiency of business activities, and offered recommendation for improvements. Utilizing key skills, I delivered active support in SOX project management efforts for US and contributed in project planning and staffing for international locations.

I evaluated and assessed professional staff work, ranged from two to seven staffs per engagement. I steered project management effort for various SOX projects such as initial planning and scoping of process area and relevant location, coordinating with client sponsors and external auditor, preparing SOX documentation, and analyzing internal control design. Leveraging my key expertise, I excel coordinating multiple internal audit engagements, which included assessment of control risk, development of audit program, evaluating on policies, and optimization of business processes. I expertly developed engagement work plan and budget, allocated appropriate staffing, tracked project hours, and discussed engagement progress with clients.