Mr. Pollock has 25 years of accounting, compliance and tax experience supporting organizations of various clients in a wide range of consulting and management roles.  His experience includes working for small start-up enterprises to large global organizations both private-held and publicly traded organizations.  Mr. Pollock has also worked for and consulted with many non-profit entities.

Mr. Pollock has provided consulting services to clients for more than 20 years including time spent consulting with two large global consulting firms.  These experiences included professional tax preparation support, external financial audits and forensic accounting and investigations and professional business travel to more than 25 countries globally.

Prior to his current role, Mr. Pollock served as SVP and Chief Compliance Officer for a software and technology company where he maintained responsibilities for the company’s internal controls program and for various external regulatory compliance requirements including SEC, PCAOB, KYC, OFAC and PCI compliance.  As a named executive officer for a public company, Mr. Pollock interacted with a wide range of regulators, auditors, litigators, investigators, investor groups and federal agencies.

As an innovator and hands-on leader, Mr. Pollock has helped many companies design, build and implement compliance and internal control solutions that have helped to address weaknesses and to improve the overall financial internal control environment.  Mr. Pollock has been invited to address both private organizations and industry groups on a wide variety of governance, risk and compliance topics.

Mr. Pollock provides support related to a wide array of small business services including:

• Accounting/bookkeeping
• Tax preparation
• Tax research
• Basic financial statement compilations, reviews and audits
• Audit readiness
• Internal controls
• Local grant application support (drafting, writing)
• Business consulting
• Business structuring
• Due diligence, forensic accounting and other forms of investigations; and
• Specialized projects (nature and scope to be determined with the client).

Tax experience

 Private clients/high net worth individuals  – developed tax strategy for various high net worth individuals and performed various tax compliance activities including preparing and filing extensions, tax payments and returns in addition to managing tax authority communications

Private client/medium sized business owner – designed retirement strategy for principal owner with a focus on short and long-term expenses and cash needs, current financial state of the principal owner’s business enterprise and personal pension elections.

Private clients/small business owners – provided tax compliance services related to individuals including personal 1040 preparation, small business 1120 return preparation and various sub schedules including K-1s.

Accounting / bookkeeping experience

Small youth sports organization – redesigned bookkeeping practices including processes to ensure daily bank reconciliation activities and to ensure proper bank controls.  Investigated two specific fraudulent events and brought to resolution.  Streamlined monthly financial reporting processes.

Local youth center – conducted independent multi-year review of local finance and internal control practices.  Provided detailed recommendations to enhance existing process and to ensure appropriate segregation of duties, proper oversight and monitoring over daily activities and approval and authorization controls over cash disbursement activities.

Investigations and forensic accounting

Private company – Designed and conducted forensic audit procedures related to employee travel and entertainment transactions with detailed testing and comparison to supporting documentation.  Identified clear instances of fraud and expense account abuse which led to the recovery of company funds.

Private company – Investigated multiple instances of reported employee fraud leading from complaint to investigation to prosecution.  Investigation included detailed review of company transactions, comparison of independent, third-party evidence to internal company records and interviews with a series of individuals with first-hand knowledge of the alleged incidents.  Redesigned company processes to ensure formalized review and oversight of vendor selections, expense approvals and outgoing disbursement practices.

 Public company – Conducted in-depth fraud risk assessment and developed formalized anti-fraud program designed to help prevent and respond to instances of fraud including asset misappropriation, fraudulent financial accounting and reporting.  Project consisted of in-depth interviews with key company stakeholders, scenario analysis of various potential fraud risk events and formal identification and implementation of formalized fraud mitigation policies, procedures and on-going transactional monitoring activities.

Grant writing

Small youth sports organization – sought strategic funding opportunities and secured grant funding to assist small organization with its on-going expenditures.  Assembled formalized process for seeking, responding to and obtaining external potential grant funding sources.

Internal controls and process optimization

Large public company – Performed risk assessment for client organization and build multi-year, risk-based internal audit and Sarbanes-Oxley compliance plan including assessment of design of controls, internal controls effectiveness testing, exception analysis, deficiency assessment, conclusion and reporting.  First year plan led to the identification and subsequent remediation of a series of internal control deficiencies leading to an improved internal control environment.

Mid-sized public company – Conducted formalized review of current state organizational functions with a focus on personnel, process and technology.  Formally documented and evaluated business requirements/needs, maturity of information systems, transaction flow and critical inputs., outputs and dependencies. Identified over $1M in excess processing activities and associated SG&A savings as part of future-state process re-engineering

Small private company – Performed risk-based assessment of current state process and evaluated existing controls assessing level of maturity, state of effectiveness and auditability. Designed and implemented multi-step controls improvement program with a focus on increased documentation, improved policies, procedures

Small public company – assessed key revenue, cost and administrative activities for small public company emphasizing design, structure and effectiveness of various sales order-to-pay, purchase order-to-pay, inventory, payroll, selling and general administration costs leading to the adoption of a new formalized internal controls development and improvement program. Newly designed controls aligned with the COSO internal controls framework and including the requisite level of documentation, appropriate separation of responsibility controls and transactional monitoring activities designed to help identify an instances of incorrect processing, unauthorized transactions and potential fraud.

Audit readiness 

Small public company – designed and implemented audit readiness strategy for small public company which helped to formalize the audit notification and preparation processes.  Led multiple pre-audit internal reviews to assess current state and level of existing process and transaction conformance.  Identified missing documentation, unsupported transactions and various process weaknesses and developed corresponding process and controls correction plan to help ensure a greater degree of audit readiness from outside regulators and inspectors, commercial third-parties with “audit-rights” and independent auditors.

Governance, risk and compliance

Mid-sized private company – Designed and implemented inaugural compliance and internal audit function with responsibilities related to regulatory compliance, information security, policies & procedures, training, SOX and internal controls.  Program including development of company code of conduct, company ethics program and implementation of whistleblower hotline and included a series of company-wide trainings and information sharing sessions.

Large public company – Developed and implemented enterprise-wise risk management (ERM) program formalizing risk information gathering activities, assessment of risk likelihood of occurrence, impact, and timeline (velocity).  Built risk assessment models to evaluate level of investment required to further mitigate key risks facing the organization.  Major risk topics were reported to the company’s Board of Directors leading to the adoption of a formalized Enterprise risk management program complete with regular updates, re-assessment and on-going mitigation, tracking and reporting.

Audit readiness 

Public company – designed and implemented audit readiness strategy for small public company which helped to formalize the audit notification and preparation processes.  Led multiple pre-audit internal reviews to assess current state and level of existing process and transaction conformance.  Identified missing documentation, unsupported transactions and various process weaknesses and developed corresponding process and controls correction plan to help ensure a greater degree of audit readiness from outside regulators and inspectors, commercial third-parties with “audit-rights” and independent auditors.

Public company – Developed and implemented regulatory compliance programs related to OFAC, KYC/BSA, ADA, PCI, FCPA for mid-sized payments processing company leading to formalized policies and procedures, regular training and awareness sessions, recurring internal and external assessments, and on-going coordination with large global banking and credit card institutions.

Internal audit  

Public company – designed and implemented risk-based internal audit program designed to provide assurance over key business processes across the organization.  Multi-year plan including assessment of information and cyber security, supply chain, back-office administration and support processes including billing and collections, invoice approval and authorization to pay, payroll and contractor management in addition to financial controls related to general ledger, account reconciliations, actual to budget analysis and reporting and financial statement preparation and reporting.

Private company – built detailed internal audit and compliance plan formalizing the company’s assessment of key risks facing the organization including competitor and marketplace developments, pricing, customer and employee retention and product obsolescence.

Software & Programs

• Major ERPs including SAP, Oracle, Saleforce
• Data analysis tools including Alteryx, Tableau
• Audit technologies including AuditBoard, Wdesk,
• Financial reconciliation tools including Blackline
• MS Office
• G-Suite.