Mike Walters

About Mike Walters

Twenty years of financial accounting and auditing, internal audit, regulatory, and financial services experience. Consistent record of increased responsibilities in client-serving and regulatory roles. Recognized for professionalism, leadership, and technical, personnel development, and communication skills.Specialties: Financial accounting / GAAP, PCAOB standards, AICPA standards / GAAS, financial audit, internal audit, risk assessment, IIA standards, SEC reporting, broker-dealer accounting, broker-dealer compliance, IIA quality assessment reviews, risk management, external audit, commercial banking, allowance for loan losses, mortgage banking, broker-dealer net capital, broker-dealer reserve requirements, FAS 157, derivatives, fair value accounting and reporting.

Experience

1. Associate Director

   Public Company Accounting Oversight Board (PCAOB)

   Mar 2013 — Present

   Lead teams of inspectors in executing PCAOB inspections plans under the Board’s interim broker-dealer inspection program.Manage teams of inspectors in reviewing compliance with professional standards for broker-dealer audits completed by global, national, regional, and local CPA firms * Inspections include audits of large clearing broker-dealers and introducing firms * Responsible for refining the broker-dealer firm inspection program’s inspection methodology under the interim inspection program * Primary responsibility for concluding upon identified audit deficiencies and approval of written communications to audit partners and CPA firm leadership * Designed and implemented a quality review program for completed inspections

Education

• The University of Alabama

  BS, Accounting

  1989 — 1993

Skills

• External Audit
• Finance
• Executive Management
• Banking
• Risk Management
• Internal Controls
• Sec Filings
• Training
• Risk Assessment
• Sarbanes-Oxley Act
• Gaap
• Management
• Financial Risk
• Leadership
• Financial Services
• Financial Accounting
• Investments
• Internal Audit
• Accounting
• Due Diligence
• Auditing