IT Controls: Identifying the Building Blocks for SOX Compliance
Instructor:
Anil Gupta
Product ID: 700144
- Duration: 60 Min
Financial reporting processes are driven by IT systems that are deeply embedded in initiating, authorizing, recording, processing and reporting of financial transactions. This session identifies the three key building blocks required to ensure that IT controls exist and are structured in a way such that their design, assessment and remediation is totally integrated into the Sarbanes-Oxley compliance initiative.
Areas Covered in the Seminar:
- Building Block #1: Seamless integration of the three process-level controls - IT application controls, IT general controls and manual controls.
- Building Block #2: Automatic testing of process-level IT application controls and incorporation of its result into the overall results of the test suite.
- Building Block #3: Ability to easily define and assess relevant overall IT controls - typically derived from COBIT model - and reconcile them for the selected assessment framework such as COSO
Who will Benefit:
- IT Audit professionals
- Compliance Officers
- Director of SOX
- Vice Presidents of SOX
- Financial Controllers
- Financial Managers
Anil Gupta is the Principal of The Applications Marketing Group. He brings over 20 years of experience in marketing enterprise applications, with over half of that in manufacturing and supply chain management. Anil has also consulted with various software and manufacturing companies on planning, materials management, quality management and compliance related issues. Anil has also served as VP of Product Strategy at software companies such as Baan and Niku.
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