SOX 404 Compliance
Turning SOX Compliance into a Structured Business Process
SOX compliance relies on structured processes and clear accountability to reduce risk and support future public reporting.
Overview
Lisa specializes in governance, risk, and compliance, drawing on her internal audit, enterprise risk management, and assurance experience within multi-billion-dollar global organizations. She partners with clients to strengthen internal controls, optimize processes, and navigate complex risk and regulatory environments.
At AAFCPAs, Lisa leads Sarbanes-Oxley (SOX) 404 readiness and compliance, solutions in fraud and forensic accounting, litigation support and expert witness services–all while supporting internal audit and controls. She advises companies on the design and implementation of sustainable internal control frameworks while supporting businesses and individuals in detecting, preventing, and responding to fraud, money laundering, and financial misconduct. She also assists attorneys with complex financial analysis in legal disputes, helping strengthen case strategy and improve financial outcomes.
As a Certified Fraud Examiner (CFE), her background spans internal audit, fraud and forensic accounting, IT security, cybersecurity, and regulatory compliance in the United States and abroad. She is skilled at engaging Boards of Directors and C-suite leaders and is fluent in GAAP, AICPA, PCAOB, COSO, COBIT, and data privacy frameworks. Her work spans many industries such as financial services, technology, life sciences, healthcare, manufacturing, ecommerce, retail, and government.
Prior to joining AAFCPAs, Lisa spent more than 20 years in senior internal audit and risk advisory leadership roles across public accounting, corporate, and global financial services environments. She brings broad perspective and insight to every engagement. Lisa is a frequent speaker and thought leader on fraud prevention, forensic investigations, and SOX readiness. She holds an MBA and a B.A. in Psychology from the University of Massachusetts Lowell. Her credentials include globally recognized certifications such as the Certified Fraud Examiner (CFE) and Certification in Risk Management Assurance (CRMA), reflecting her expertise in risk management, complex financial investigations, fraud resolution, and anti-fraud program design.
Education
- University of Massachusetts Lowell – Bachelor of Arts (BA), Psychology
- University of Massachusetts Lowell – Master of Business Administration (MBA)
Professional and Civic Associations
- Institute of Internal Auditors, Global and Boston Chapter
- Association of Certified Fraud Examiners
- Financial Executives International Boston Chapter (FEI-Boston)
Service
- Massachusetts Society for the Prevention of Cruelty to Animals (MSPCA) – Animal Action Team Member, Surgical Suite Concierge and Adoption Center Associate
- Women’s Money Matters, Inc. – Former Board of Directors, Finance Committee, and Investment Committee Member
Articles by LISA
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SOX 404 Compliance
SOX 404(a) Compliance: Strengthening Internal Controls and Financial Reporting
SOX 404(a) requires public companies to maintain effective internal controls over financial reporting. Structured, transparent controls reduce risk, prevent errors, and build investor confidence.
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