Compliance / Audit   -  Skills &  Experience

Key Skills

• Identify, assess and mitigate business risks
  

• Develop and implement compliance testing programs together with governance program
  

• Assess and document compliance and business controls status on quarterly basis
  

• Prepare Quarterly Certification to Management submission to CEO ( SOX requirement)
  

•  Understand of Sarbanes Oxley requirements for US listed companies and their subsidiaries
  

• Perform business controls reviews to assess process for control weaknesses
  

• Perform financial audits and prepared associated workpapers
  

• Review and test system control points / inputs and outputs ( both up stream and down stream)
  

Demonstrated Experience

I have conducted numerous audits and control reviews during my careers commencing with PWC and KPMG where I was a Audit Manager.  The interest in compliance and Audit continued when I joined IBM's Business Controls division.  My primary responsibilities were the development of Key Controls of Financial and Operational process across the ANZ organisation in response to the  business; legal obligations under the SOX legislation.

Once the key controls were documented and a governance and reporting structure implemented I resumed BAU activities involving the assessment and documentation of risk and implementation of secondary controls  and the performance of process business control reviews.

Gail Phillips

Business Process Improvement Professional