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Updated:01/06/2009 Copyright © 1996-2009 Skip Stein
Skip Stein
Systems Auditor and Internal Controls Expert
Mr. Stein is a Senior Systems Auditor and Internal Controls expert with a focus on Electronic Application Integration (EAI), Business Analysis and Project Management. He has been a professional consultant dealing with issues and solutions to problems in the Management Information Systems field. Mr. Stein’s hands on implementation approach to Internal Controls Projects and Audit practices has provided an effective means to complete many projects with aggressive time tables on time and within budgeted parameters.
As with any internal controls or audit documentation project, a background in accounting, systems and technology is a requirement. Mr. Stein’s unique experience provides that across a multitude of technology platforms and industries. As an experienced computer systems professional functioning as an information and data architect, Mr. Stein has gained valuable skills and knowledge by working in a wide range of industries and applying a varied set of technology solutions to complete project tasks and resolve client problems. Mr. Stein’s employment and consulting history includes such businesses as Public Accounting, Banking and Finance, Manufacturing/Distribution, Pharmaceuticals, Oil & Gas, Petrochemical, Telecommunications, Resort and Hotel Management, and Retail Sales and Distribution. Within these organizations, he has performed in positions as Internal Audit Manager, Operations Director, Director of Development, Programmer Analyst, and Project Manager.
Mr. Stein’s skills include the ability to take charge of projects, generate cohesive team participation and complete assignments in a timely manner. Since each task of a successful project depends on all previous and subsequent tasks, Mr. Stein has developed project management and team building skills while utilizing precedence and critical path method management techniques. Mr. Stein is also a capable programmer utilizing language technology of HTML/XML, Java, C++, Assembler, COBOL, PL/I and RPG. His experience with various computational frameworks, including Client Server, Distributed Data Warehousing, and Centralized Mainframe, provide a basis for the constant learning processes in which he conducts beta testing for major hardware & software companies, including Microsoft and IBM. Most recently, Mr. Stein has worked with Electronic Business Flow Management (EBFM) systems utilizing EDI and Web Commerce tools to implement business-to-business communications solutions in conjunction with International ERP systems deployments.
During his career, Mr. Stein has enjoyed an in depth involvement with a varied set of technologies and utilized them to provide productive and cost effective business solutions with a focus on internal controls. As a Project Manager, Mr. Stein has worked around the globe reaching from the Prudhoe Bay Alaska to Hong Kong to Europe and Mexico. Working on massive projects like the Prudhoe Bay Sealift Project in Alaska to major manufacturing/distribution operations involving airfreight operations from Hong Kong to the USA, and warehouse management systems in Europe, he has developed team management and implementation skills enabling these and other projects to be completed on time and within budget.
Mr. Stein is well versed in financial systems and operations working several years in commercial banking industry and public accounting. He has implemented Enterprise Resource Planning systems for manufacturing/distribution, electronics and pharmaceutical companies. He has also designed and implemented various manufacturing/distribution/financial EDI transaction systems for major manufacturers in the USA and Europe. He now applies his experience and understanding of technology to the systems audit and control practice and Sarbanes-Oxley financial reporting requirements.
Education: B. S. Personnel Management University of Houston, Houston Texas Certification: CISA - Certified Information Systems Auditor CDP - Certificate in Data Processing Spoken Languages: Fluent: English (USA), Light: Spanish, German & French. Computer Languages: HTML, XML, COBOL, Assembler, FORTRAN, PL/I, C++, Visual Basic, VISIO, and RPG EDI Standards: ANSI X.12, EDIFACT, VICS, UCS, ODETTE, TRADACOMS, and HIPAA X12N; AS2 Security including Secure FTP, Trailblazer, IP/NET and other protocols. Computer Software: Windows 2003/2000 Server, Windows Vista/XP/2000, Microsoft Sharepoint, MS Office ,MS Project, Access , Internet TCP/IP, MS SQL, Oracle, Informix, Novell, Sterling Software’s Connect: Direct (NDM), Sterling Gentran, Inovis/Harbinger/TLE/Premenos, IPNet, Softshare, 1EDI Source, and other EDI Transaction Mapping Systems, MVS/XA, SNA/VTAM, UNIX, OS/400, PICK OS Computer Hardware: Intel based Servers, DEC, HP, IBM System Z, AS/400,Audit & Controls Experience
Conducted a Computer Resource Management Review (CRMR) for a national translation & transportation company. Interviewed all of senior management, reviewed technical server and VOIP systems. Made recommendations for Business Continuity Planning (BCP) and enhancement of voice and data networking.
Managed the Computer Resource Management Review (CRMR) for a major financial lending organization. Our CRMR services are geared toward clients with a need to determine the value of an IT Organization, business process or project. We review the operational effectiveness of the Computer Resources at the organization. The major components of the Information Technology (IT) organization and how they relate to the overall organization and management structure of the company are analyzed. With a view towards Sarbanes-Oxley (SOX) impact as well as cost effective return on investment (ROI), the total picture of how the IT organization contributes to the profitability and cost effective use of business resources. Effectiveness of IT staff and policies and procedures as well as IT Internal Controls and methodologies in use are evaluated.
Conducted a Pre-SOX (Sarbanes-Oxley) audit review of corporate systems, functions and internal controls. Conducted overview and analytical review of all financial and operational systems as they pertain to revenue and balance sheet accounting and financial statement preparation. Focus on internal controls and implications of the approval/certification process as defined in Sarbanes-Oxley legislation. Worked with remediation teams to augment existing documentation, procedures and internal controls. Develop a methodology to move the organization toward COBIT/CMM system control levels.
Managed a Sarbanes-Oxley project to develop internal controls systems for automated systems. Wrote business and operational procedures for change control and systems development. Coordinated pre-audit activities with independent auditors with Sarbanes-Oxley focus.
Responsible for the internal audit review of the design, construction, system conversion and implementation of a private label credit card processing center. The project included the implementation of credit card processing and collection support system with asset values totaling $400,000,000 annual sales volume. Internal control systems were developed to comply with regulatory reporting, financial audit and internal controls.
Managed the accounting and MIS audit activities for The Limited, a fourteen-division national retail corporation. This included the annual accounting systems reviews as well as work-paper preparation and analysis for the annual stockholder audit. Reporting to the Vice Chairman of the company, several special projects were also completed, including the implementation of a twenty four thousand person payroll, conversion to new general ledger and financial reporting systems, and implementation of the accounting systems and procedures for a Far East operation.
As a senior manager with KPMG, managed the MIS audit activities for public accounting clients in the financial and petroleum industries. This included the transactional testing of accounting practices and procedures and the compliance testing to FASB rules. The computer systems were tested for accuracy of transactional data with forecasted results. Security procedures and disaster recovery plans were evaluated and tested. The companies involved included Commercial Banking, Savings & Loan, Oil and Gas Exploration and Production companies throughout the West-Central USA.
Performed analytical reviews and developed functional and technical design specifications to coordinated hospital, clinical, radiology and laboratory systems data flows to enhance a new Deductible Health Maintenance Organization (DHMO) billing processes. Coordinated between each of the subsystem teams to accelerate their data capture and process flows into an enhanced DHMO member billing process. Developed testing criteria and monitored testing and implementation. Worked with accounts receivable and adjudication functional teams to process data in a timely manner in order to produce billable results. Project anticipated return is a $1.4 million revenue increase in first six months.
Managed, coordinated and designed third party interface requirements for Fiskars Brands, Inc., an integrated hard-goods manufacturer during the conversion to and implementation of JD Edwards OneWorld-XE ERP system. Architected the data flow model to coordinate all transaction interfaces between third party modules, custom designed system and JD Edwards EAI system functions. Developed the audit and internal controls structures that were compatible with Sarbanes-Oxley financial reporting requirements. Built intranet web based documentation system to identify all data flow internal control models, documentation and procedures and interface requirements
Designed, planned and implemented the financial accounting control interfaces for JD Edwards accounts receivable automated cash application interfaces to process trade account payments via EDI 820 Remittance/Payment Advice transactions. Planned and set up the Accounts Payable automated account reconciliation process, procedures and financial institution data interfaces. Developed an outbound electronic payment processing system to process vendor payments and employee disbursements via EDI 820 Remittance/Payment Advice to financial institutions.
