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The Controller's Toolkit

The Controller's Toolkit

  • Author:
  • Publisher: John Wiley & Sons_
  • ISBN: 9781119700647
  • Published In: January 2021
  • Format: Hardback , 544 pages
  • Jurisdiction: International ? Disclaimer:
    Countri(es) stated herein are used as reference only

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  • Description 
  • Contents 
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    Get practical tools and guidance for financial controllership you can put to immediate use 

    The Controller’s Toolkit delivers a one-of-a-kind collection of templates, checklists, review sheets, internal controls, policies, and procedures that will form a solid foundation for any new or established financial controller. You’ll get the tools and information you need to master areas like business ethics, corporate governance, regulatory compliance, risk management, security, IT processes, and financial operations. 

    All of the tools contained in this indispensable book were recommended by corporate and business unit controllers from small to medium-sized companies and large, multinational firms. You will benefit from master-level guidance in areas like: 

    • Ethics, Codes of Conduct, and the “Tone at the Top” to support ethical behavior 
    • The operational and financial aspects of corporate governance 
    • The importance of the Committee of Sponsoring Organizations of the Treadway Commission Framework  
    • The requirement for entity-level controls 
    • The importance of linking the business plan with the budget process 

    The Controller’s Toolkit also belongs on the bookshelves of finance and accounting students, executives, and managers who wish to know more about the often-complex world of financial controls. 

  • PART 1

    Chapter 1 About This Toolkit

     Chapter 2 Defining the Role of a Controller

    Introduction

    Governance, Risk Management and Compliance (GRC).

    Controller Job Responsibilities

    The Controller as Business Partner

    SECTION 1 – CORPORATE AND REPUTATIONAL RISK

    Section Introduction

    Chapter 3 The Controller and Risk Management

    Introduction

    Risk Management Process Flow

    Risk Management Defined

    Risk Management Models

    Risk Management Table of Controls

    Risk Management Risk and Controls Matrix

    Chapter 4 The Controller and Ethics

    Introduction

    Ethics Program Process Flow

    What is “Tone at the Top?”

    Example Code of Conduct: MCI

    Code of Conduct and Ethical Violations

    Controllers and the Code of Conduct

    The Reaction to Unethical Behavior

    A Comparison of Sarbanes Oxley Section 302 and Section 404

    Sox and Whistleblower Protection

    Ethics Training Programs

    Key Considerations for an Ethics Hotline

    How to Manage an Ethics Hotline

    How Do We Know That “Tone at the Top” Is Effective?

    “Tone at the Top” and the “Tone in the Middle”

    “Tone at the Top” and the U.S. Sentencing Guidelines

    “Tone at the Top” and the Foreign Corrupt Practices Act (FCPA)

    Anti-Bribery Provisions of the FCPA

    Record Keeping Requirements of the FCPA

    Guidelines for FCPA Compliance

    The Dodd-Frank Act

    The Whistleblower Protection Act of 1989

    The False Claims Act

    Table of Controls

    Table of Risks and Controls

    Chapter 5 The Controller and Corporate Governance

    Introduction

    Corporate Governance Process Flow

    Corporate Governance for Small Business

    Corporate Governance for Private Companies

    The Financial Aspects of Corporate Governance (Cadbury Committee 1992)

    The International Finance Corporation (IFC) and The Global Corporate Governance Forum

    The Organization for Economic Cooperation and Development (OECD) and Corporate Governance

    When Corporate Governance is Flawed

    The Sarbanes Oxley Act of 2002 (SOX) and Corporate Governance

    Table of Controls

    Table of Risks and Controls

    Chapter 6 Entity Level Controls

    Introduction

    Entity Level Controls Process Flow

    Benefits of Entity Level Controls

    Why Focus on Entity-Level Controls?

    Why is Committee of Sponsoring Organizations of the Treadway Commission (COSO) Framework Important to Entity-Level Controls?

    Implementing an Entity-Level Controls Framework

    Examples of Entity-Level Controls

    Executing an Entity-Level Controls Questionnaire

    Table of Controls

    Table of Risks and Controls

     SECTION 2 – STRATEGIC AND M&A RISK

    Section Introduction

    Chapter 7 Strategic Planning and M&A

    Introduction

    Strategic Plan Process Flow

    The Strategic Planning Process

    Preparing for Strategy (Step 1)

    Articulating the Mission, Vision, and Values (Step 2)

    Sample Mission Statements

    Vision Statements for New and Small Firms

    Assessing the Situation (Step 3)

    Developing Strategies, Goals, Objectives and Budget (Step 4)

    Writing the Strategic Plan (Step 5)

    Example Strategic Plan Table of Contents

    Implementing the Strategic Plan (Step 6)

    Evaluating the Effectiveness of the Strategic Plan (Step 7)

    Mergers and Acquisitions (M&A)

    The M&A Process Flow

    The M&A Due Diligence Checklist

    Table of Controls

    Table of Risks and Controls

     SECTION 3 – INTERNAL CONTROLS RISK

    Introduction to this Section

     Chapter 8 Internal Controls Program

    Introduction

    Internal Controls Process Flow

    Application of Internal Controls

    The Three Critical Corporate Controls

    About the Committee of Sponsoring Organizations of the Treadway Commission (COSO)

    Monitoring Internal Controls

    Roles and Responsibilities

    The Impact of the Sarbanes Oxley Act of 2002 (SOX) Section 404 on Internal Controls Programs

    Internal Controls Best Practices for Privately Held Companies

    Leveraging Internal Control Basics to Implement a Controls Self-Assessment (CSA) Program

    Internal Controls and Fraud Prevention

    The Fraud Triangle and Example of Fraud

    The Fraud Diamond

    Table of Controls

    Table of Risks and Controls

     SECTION 4 – COMPLIANCE RISK

    Introduction to this Section

     Chapter 9 Corporate Compliance

    Introduction

    Corporate Compliance Process Flow

    The Chief Compliance Officer

    Duties of the Chief Compliance Officer

    The Controller’s Compliance Toolkit

    Table of Controls

    Table of Risks and Controls

    PART 2

     SECTION 5 – PAYMENT RISK

    Introduction to this Section

    Corporate Payments Market Drivers

    Additional Statistics

    Scope of Corporate Payments Risk

    Table of Business Process, Sub-Process, Risk Impacts and Indicators

    Chapter 10 Procure to Pay (P2P)

    Introduction

    Procurement

    Contract Management

    Purchasing and Ordering

    Procurement Reporting, Metrics and Analytics

    Accounts Payable

    Supplier Master File

    Invoice Processing

    Payment Process

    Accounting Process

    Customer Service

    P-Cards

    T&E

     Chapter 11 Hire to Retire (H2R)

    Introduction

    Human Resources

    Payroll

     Chapter 12 Order to Cash (O2C)

    Introduction

    Order to Cash (O2C) Process Flow Diagram

    Sales

    Customer Master File

    Credit Analysis

    Order Fulfilment and Invoicing

    Accounts Receivable and Collections

    Cash Application and Management

    O2C Reporting, Analytics and Metrics

    PART 3

     SECTION 6: FINANCIAL OPERATIONS RISK

    SECTION INTRODUCTION

    Chapter 13 THE RECORD TO REPORT (R2R) PROCESS

    Chapter 14 BUDGETS AND FORECASTS

    CAPITAL BUDGETS AND FIXED ASSETS

    Chapter 15 THE SUPPLY CHAIN PROCESS AND INVENTORY CONTROL

    Chapter 16 THE TREASURY AND CASH MANAGEMENT PROCESS

    Chapter 17 SHARED SERVICES AND BUSINESS PROCESS OUTSOURCING (BPO)

    Chapter 18 DATA VALIDATION,ANALYTICS, METRICS AND BENCHMARKING

     SECTION 7: IT RISK

    SECTION INTRODUCTION

     Chapter 19 INFORMATION TECHNOLOGY (IT) CONTROLS AND CYBERSECURITY

    SECTION 8: SECURITY AND BUSINESS CONTINIUTY RISK

    SECTION INTRODUCTION

    Chapter 20 BUSINESS CONTINUTY AND PHYSICAL SECURITY

    Business Continuity

    Physical Security

     SECTION 9: LEADERSHIP AND CHANGE MANAGEMENT RISK

    SECTION INTRODUCTION

     Chapter 21 LEADERSHIP AND MANAGING CHANGE

     Chapter 22 TRENDS, PROCESS TRANSFORMATION AND DIGTIZATION

    Roadmap for Process Transformation

    PART 4

    SECTION 11 – ADDENDUM

    Table of Controller's Tools

    Key Performance Indicator (KPI) Library

    SECTION 10 – GLOSSARY

    Index

  • CHRISTINE H. DOXEY, CAPP, CCSA, CICA, CPC, is president of Doxey, Inc., a consultancy that has brought vast improvements to the finance departments of leading organizations worldwide. Doxey is on the Advisory Boards of The Exchange Summit and The Institute for Internal Controls. Previously, Christine was a financial executive at Hewlett Packard and Verizon Business. She has authored several books and speaks on a range of financial processes and internal controls best practices at global conferences.

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