Case Study Five: 18 - Year SEC Reporting & SOX Leadership Engagement

SEC Reporting / Governance

Details

An SEC-registered public company required additional leadership to design, implement, and monitor SOX internal controls, along with ongoing accounting and SEC reporting support.

Engaged by the CFO for additional accounting, internal control & SEC reporting leadership & expertise.

• Led successful SOX implementation using a risk-based ICFR approach
• Provided ongoing internal control leadership with regular reporting to CFO, Audit Committee, and Board
• Supported monthly close, quarterly reporting, and SEC filings (10-K, 10-Q, Proxy)
• Led adoption of 2013 COSO framework and coordination with external advisors and legal counsel
• Implemented key accounting standards (ASC 606 – Revenue Recognition, ASC 842-Leases) and evolving tax regulations
• Supported SEC reporting and finance operations during CFO transition, including hiring and training a new controller

Delivered long-term (18-year) leadership across internal controls, financial reporting, and compliance