SEC Reporting & SOX 404 Compliance

Service Description

Public company compliance isn't just paperwork — it's the framework investors, lenders, and regulators use to decide whether your finance function can be trusted. I bring direct experience managing 10-K, 10-Q, 8-K, and S-3 filings for NASDAQ- and OTC-listed companies, including restoring reporting compliance from a multi-year backlog, alongside designing and implementing SOX 404 and COSO-aligned internal controls built for the reality of a lean public company — not a copy-paste framework from a much larger organization. The two go hand in hand: strong controls are what make accurate, defensible filings possible in the first place, and consistent filings are the clearest evidence to your board and auditors that those controls are working. This includes preparing companies for their first-ever financial statement audit — building the documentation, controls, and technical positions that turn an audit into a formality rather than a scramble. I build all of this sized to your team and rigorous enough to satisfy your board, your auditors, and the SEC — including, increasingly, the controls around newer areas like digital asset custody and treasury activity. The goal isn't just compliance for its own sake. It's a finance function your board, lenders, and shareholders can rely on.