Mike Walters

Experience

• 

  Ernst & Young

  Jul 1993 - Dec 2008

  • Advisory Senior Manager

    Jan 2003 - Dec 2008

  • Assurance Senior Manager

    Oct 2000 - Dec 2002

  • Assurance Manager, Senior & Staff

    Jul 1993 - Sept 2000
• 

  PCAOB

  Mar 2009 - now

  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 Show less

  • Associate Director

    Mar 2013 - now

  • Inspection Leader

    Mar 2011 - Mar 2013

  • Inspection Specialist

    Mar 2009 - Mar 2011