Key Controls: The Solution for Sarbanes-Oxley Internal Control Compliance

Sarbanes-Oxley is the most sweeping legislation and set of enhancements to the securities laws since the original Exchange Acts were passed back in 1933 and 1934.

Bring key controls to your organization and help ensure Sarbanes-Oxley compliance. This book will:

- Give you the ten best reasons why you need a key controls process.
- Provide you with techniques for identifying, reviewing, and testing key controls.
- Explain why the development of a key controls process is your best solution to address risks, minimize costs and maximize the benefits from your investment.
- Help you understand how to build the most efficient and effective key controls process for your company.
- Explain why the development of a key controls process is a good management practice and why it should be a best practice.

James Brady Vorhies, CIA, CISA, CPA, has a bachelor of arts degree in economics from The University of Texas. He also has an MBA in finance and a master of science degree in accounting from The University of North Texas.

He has extensive internal audit experience for several firms and is a Certified Internal Auditor, a Certified Information Systems Auditor, and a Certified Public Accountant. In his risk monitoring role, James reports directly to the corporate controller of a Fortune 500 firm while also working extensively with the firm’s chief audit executive.

Over two years ago, James designed and implemented a key controls process for the firm’s accounting functions. In addition to the ongoing key controls processes, James manages the quarterly review of his firm’s disclosure controls and procedures and the U.S. Sarbanes-Oxley Act of 2002 Sections 302 and 906 certification supporting processes. James is also responsible for several key roles in developing his firm’s Sarbanes-Oxley Section 404 process among which are designing and implementing the overall business process and supporting automated and manual systems.