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COSO, SOX, & Risk Management for Small & Midcap Companies
LIVE webcast
John McLaughlin, CPA
Senior Managing Director, Advisory Business Services
LECG
John is a Senior Managing Director for SMART and is responsible for the Company’s Enterprise Risk Management Services practice. He is a former Director with PricewaterhouseCoopers LLP and Internal Audit Director with ARAMARK Corporation. He is a member of the Board of Research and Education Advisors of the Institute of Internal Auditors and serves as a member of the Audit Committee of a regional health system.
Steven L. Siemborski
Partner, Regional Advisory Services Leader, National Solution Leader Governance Risk and Compliance
Grant Thornton LLP
Steve is a partner with 33 years of experience; 4 in industry with a Fortune 500 company, and 29 years providing professional services. He leads the Advisory Services practice in the Midwest Region, which consists of 9 offices and 150 professionals. In addition to his regional responsibilities, Steve is actively leading several client projects including 3 active SOX assignments.
Professional Service Experience
Steve’s 29 years of professional service experience stems from assurance and consulting roles at the partner level at Grant Thornton, Ernst & Young and Cap Gemini Ernst & Young. He joined the audit practice of Ernst & Young in 1976 as an accountant, progressed to a partner in 1987 and continued in that role through 1994 when he left for an industry position. He rejoined E&Y in 1998 as a consulting partner focusing on helping companies with business transformation projects. Steve joined Grant Thornton in May 2003 to build and manage a suite of Advisory Services. These services include Recovery and Reorganization; Due Diligence; Valuation; IT; Governance, Risk and Compliance; and Operational Improvement.
Industry experience
As a Board member, Steve was integrally involved in developing the strategic plan for the restructuring of the conglomerate to a manufacturer of highly engineered products. As an officer and CFO, Steve led the drive to focus the Company on its core competencies, to improve financial and operating controls and thereby improve financial integrity. His direct reports included Internal Audit, Treasury, Accounting and Tax.
Publications and presentations
Financial Executives International. Private Company Forum. Running by the Numbers: Maximizing Corporate Performance Management for Small and Medium Size Enterprises. September 2008. Rosemont, IL
Education
Steve holds a Bachelor of Science in Accounting from Marquette University.
Arthur K. Perez
Partner, Advisory Services
Ernst & Young LLP
Art Perez is a Partner in Ernst & Young’s Advisory Services practice based in the global technology center in San Jose. Art has over 15 years of experience in the technology sector working in both a professional services capacity and in industry where he held leadership positions in sales, finance, and operations at two venture backed start-ups in Silicon Valley. Art has led global teams and multi-million dollar operations as program director, engagement partner and coordinating partner for marquee clients in areas such as risk management, compliance, internal audit, program management, process improvement and systems implementation.
Art is currently focused on assisting companies in building and improving their risk management functions including enterprise risk management, risk transformation, unlocking the value of internal audit, internal controls optimization and the achievement of alignment between the board of directors, management, and employees. Art was instrumental in building the program for a Fortune 100 company to achieve its initial SOX certification. Art later assisted this organization in embedding its compliance program into the business, lowering total cost of compliance and achieving improved risk coordination across finance, legal, internal audit, and the executive team.
Art started his career as an auditor and is a CPA in California and a Certified Project Management Professional (PMP). Art holds a Bachelor of Arts degree in Business Economics from the University of California, Los Angeles. Art is passionate about giving back to the community and serving as a leader for his firm’s inclusiveness initiatives. Art serves on the board of directors for the non-profit, Rebuilding Together Silicon Valley and he is active in his support of Ascend and Ernst & Young’s Pan Asian Professionals Network. Art is also a member of the AICPA, Commonwealth Club of California, Institute of Internal Auditors, and United Way Young Leaders United. Art enjoys reading, sports and family time with his spouse, Lisa and their two children.
Brian S. Brown
Principal, US Leader, Governance, Internal Audit Advisory Services
PricewaterhouseCoopers, LLP
Brian Brown is a Principal in PricewaterhouseCoopers Internal Audit Services practice based in Southern California. He is currently the US Leader of Internal Audit Advisory Services, and also leads the firm’s xLoS Retail & Consumer team in the Southern California market. Brian has more than 18 years experience leading client initiatives to enhance the value – cost equation of their internal audit functions. His present focus is on helping clients improve internal audit performance, and develop enterprise risk management processes. Brian has served a broad range of Fortune 500 clients as both an internal audit engagement leader, and senior relationship partner. He currently focuses on retail, consumer and technology sector clients.
In his 30 year professional career, Brian has also led and provided systems audit, external audit, and management consulting services to clients in consumer and industrial products, technology, and petroleum sectors in Canada, the Middle East, Asia, and the US. He lived and worked overseas for twelve years of those years. Brian has also developed and led internal audit practices in Asia and the US. In addition, in 1997 he directed a project to develop the firm’s initial global internal audit methodology, and more recently, in 2007-08, he led an initiative to develop an approach for internal audit become more relevant by aligning risk assessment to corporate strategy and shareholder value drivers.
COSO, SOX, & Risk Management for Small & Midcap Companies
Speaker Firms:
LECG
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