Mike Walters
Associate Director @Public Company Accounting Oversight Board (PCAOB)
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WORK HISTORY
Associate Director @Public Company Accounting Oversight Board (PCAOB)
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
SKILLS
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.
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