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Reservations must be received by NOON on Friday, August 29, 2008. (Due to the Labor Day holiday on Monday the 1st, we need to cut off earlier than normal on Friday.) Registration Cancellation and No-Show Policy
We Now Accept Credit Cards - Online Only
The IIA Dallas Chapter, in conjunction with PayPal, will now accept payment online for the monthly luncheons. There is no change in the cost to you for the lunch. We accept VISA, MasterCard, Discover, American Express, or eCheck. Note that some corporate-issued cards are not accepted by PayPal. This service is only available online at the time the reservation is made. This can be used to pay for individual or group reservations. Follow the instructions on our web site. If you properly cancel a reservation before the meeting, the Chapter will either return the funds to you or reserve you for the next meeting. Any questions, contact Abe Paul at abe.paul@tatumllc.com. After you place your reservation online, you will see the
link to pay via PayPal if desired. 
Chapter NewsCall for IIA VolunteersThe Institute of Internal Auditors is currently seeking qualified members to serve in leadership positions for 2009-2010. Volunteers provide essential leadership to and direction for The Institute through strategic planning, presentation of new ideas, development of programs, and accomplishment of specific tasks. The IIA Call for Volunteers seeks eligible and willing candidates for the following positions:
Go to the Call for Volunteers by clicking here: http://www.theiia.org/membership/get-involved/volunteers---the-heart-of-the-iia/call-for-volunteers/. All nominations must be received by The IIA by October 24, 2008. However, if you would like the Dallas Chapter Board of Governors to endorse your nomination, please submit your form to Pamela Krakosky at pkrakosky@verizon.net. The IIA Research Foundation - Donald E. Ricketts Research Award
Each project is evaluated on (1) quality of work, (2) interest and practical value, (3) topic originality, and (4) basis for further research. Please help the Research Committee by suggesting a topic for this year by sending your topic suggestions to survey@dallasiia.org.
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Lee Prillaman is the Southwest Area Section 404 Leader and a Partner in
our Business Risk Services Practice. He has more than 25 years of public accounting
experience, including extensive experience serving several large,
multi-location defense contractors and various manufacturing and
consumer products companies. Lee was formerly the Managing Partner of the Fort
Worth office before joining the BRS Global Center in Cleveland to work
with the multidisciplinary team responsible for the development of the
new Ernst & Young Risk Advisory Services Approach. Lee is heavily
involved in the development of Ernst & Young’s Risk Services Methodology
and the related Risk Assessment training. He has worked closely with Global
BRS, IT and Tax leaders to validate and implement our
integrated risk services methodology, technology and knowledge platform. 
This
meeting is being held at
Each year, The IIA sponsors a Research Competition for IIA
chapters and institutes, and announces the winners at the
International Conference. The Dallas Chapter has won first or second
place for its research projects in nine of the last ten years! 
September Review Course| Part | Date | Time | Covering |
| I | Sept. 4, 2008 | 8:00 AM - 5:00 PM | Internal Audit Activity’s Role in Governance, Risk, and Control |
| II | Sept. 5, 2008 | 8:00 AM - 5:00 PM | Conducting the Internal Audit Engagement |
| III | Sept. 6, 2008 Sept. 7, 2008 |
8:00 AM - 5:00 PM 8:00 AM - 12:00 PM |
Business Analysis and Information Technology |
| IV | Sept. 7, 2008 | 1:00 PM - 5:00 PM | Business Management Skills |
Please note: CPE credit of 8 hours per part is available from the IIA but not the Texas State Board of Public Accountancy.
| Status | Part I | Part II | Part III | Part IV |
| Dallas Chapter Members | $150 | $150 | $200 | $100 |
| Non members or other chapter IIA members | $175 | $175 | $275 | $125 |
| Dallas Student Chapter members | $30 | $30 | $30 | $30 |
See the website at http://www.dallasiia.org/CIA_Review_F08.htm for more information.
Certification News - 2009 CIA Review Course Dates Set
CIA Review courses will be held in 2009 and taught by Dr. Glen Sumners of LSU. Courses will be held at The University of Texas at Dallas. Registration will be announced in November 2008 for the February courses and July 2009 for the October courses.
Upcoming 2009 CIA Review Courses:
February 6 - Part I, 8-5
February 7 - Part II, 8-5
February 8 - Part III, 8-5
February 9 - Part III, 8-5
February 10 - Part IV, 8-12
October 2 - Part I, 8-5
October 3 - Part II, 8-5
October 4 - Part III, 8-5
October 5 - Part III, 8-5
October 6 - Part IV, 8-12
New and Improved!
During these past two years the Internal Auditing Education Partnership (IAEP) at the international and local level has done many things to advocate the profession, improve the curriculum and provide for an interchange among the internal audit program internationally. This year will be the second year students from around the world gather in Orlando to share experiences and be recruited by some of the top companies worldwide. Over 150 faculty, students, and practitioners will be there and this is the only forum where faculty from the best internal audit programs worldwide have the opportunity to compare best practices.
The Dallas IIA Chapter has been on the cornerstone to help in moving programs forward internationally, through participation on international committees, boards, advising other schools and chapters, and donations to the Internal Auditing Academic Advancement Fund (IAAAF). This chapter has been a true leader in supporting two schools locally while also working internationally to promote the profession. We are now at the cusp of a movement that is gaining significant momentum and have an opportunity to move the profession ahead further.
If you haven’t had an opportunity to get involved in the movement, it isn’t too late. As our program continues to grow, we need more leaders, mentors, and coaches for students that are interested in pursuing internal audit careers. Give us a call and we can get you involved in many different ways.
We have in place a number of methods to he employers meet students and explain the benefits of careers in internal audit. The good news is there are avenues to recruit students, but you must recruit them early in their college careers. I’ve noticed that offers to students for full time positions are getting to be a year to year and a half out at times. A new batch of students starts every semester so reviewing the status of who is available every September and February is a good idea. If you see students that are a little confused at chapter meetings, welcome the new students to the profession
To get involved or schedule a reception, site visit, interview or discuss some of the advocacy efforts at the international level, contact Mark Salamasick at 972-883-4729 or mark.salamasick@utdallas.edu. The student chapter will have resumes posted in early September and interviews will begin the later part of September. The student chapter website is www.utdallas.edu/orgs/iia with the resumes posted. Contact Mark Salamasick for the user ID and password.
Report Your Speaking and Writing
It's time again for the survey to determine which IIA Dallas Chapter members have submitted articles or spoken since August 1. Each speaking engagement on internal auditing that a Dallas Chapter member completes will earn the Chapter 1 credit per CPD hour. Each full article, Roundtable article, Fraud Finding, etc. submitted that meets basic editorial guidelines will earn 5 credits. For each full article published 20 credits are earned. Each internal audit related article published in any other trade or professional journal that is authored by a chapter member is 5 credits.
To report your writing and speaking go to http://dallasiia.org/Speaking.htm and complete the provided form by September 15, 2008.
Seminars
3rd Annual Research Symposium
UTD – Institute for Excellence in Corporate Governance
Earn three (3) hours of CPE at no cost by attending a stimulating symposium at UTD!
The Institute for Excellence in Corporate Governance (IECG) at UT Dallas is presenting its Third Annual Research Symposium on August 22 and 23. The theme of this year’s Symposium is “Corporate Governance: Achievements and Challenges Ahead”. The symposium consists of two panel discussions on Friday with a reception following. The panels feature notable academicians and prominent practitioners. Saturday will be dedicated to the presentation of research papers. Lunch will be provided. Attend either or both days.
Please call Nikki Hamilton at 972-883-5945 for more information or to RSVP.
Date: Friday and Saturday, August 22-23, 2008
Time: Friday 2:00 PM until 5:30 PM Reception following
Saturday 8:30 AM until 3:15 PM. Lunch served
Location: UT Dallas School of Management Executive Education Room
1.506
Cost: Complimentary to the Professional Community
CPE: Three (3) hours of credit on Friday
RSVP: Nikki Hamilton: (972) 883-5945 or
nikkit@utdallas.edu
Career Opportunities
- Federal Reserve Bank
- Dresser, Inc. (3)
- City of Garland
- Valero Energy Corporation (3)
- Parkland Health & Hospital System
- Capital One
- Dr Pepper Snapple Group (5)
- The University of Texas Health Science Center at Tyler
National/International Career Opportunities
Federal Reserve Bank (8/11/08)
Job Title: Sr. IT Auditor
This position is responsible for auditing the processes, procedures and controls integrated within the Federal Reserve System’s IT infrastructure, reporting on the state of compliance with policies, procedures and standards, and liaising with business units. This position will also interface with various levels of management, other Federal Reserve System auditors, and external parties. This position reports to the IT Audit Manager and will require minimal travel.
Responsibilities:
- Develop and execute audit objectives/procedures to assess controls for new or existing IT assets/systems/processes, including developing criteria, reviewing and analyzing evidence; identifying and defining issues; documenting work in compliance with standards; making sound recommendations to enhance controls and efficiency; and reporting on results.
- Serve as auditor-in-charge of audit engagements and direct and review the work of other audit team members to ensure compliance with IIA standards.
- Employ Federal Reserve endorsed risk assessment methodologies to gauge risks and drive work plans.
- Review new and existing standards, regulations, guidance, best practices, policies and customer initiatives to maintain expertise and add business value.
- Conduct data extraction, analysis, and security reviews utilizing software tools.
- Interface with all levels of management to assess and communicate results.
- Work with various groups to follow-up on issues until appropriately resolved.
- Build business relationships and act as an audit subject matter expert in assisting business owners.
Minimum Qualifications:
- Bachelor’s degree in Computer Science, Information Systems, Accounting/Finance, or a related discipline.
- Three or more years progressive experience in IT audit or equivalent experience.
- Experience conducting risk assessments.
- Experience conducting SDLC reviews.
- Experience with current legal and regulatory requirements and guidance related to information security (e.g., SOX, COBIT, FISMA, NIST, NSA, FDCC, etc.).
- Special Knowledge/Skills Required:
- Proven ability to lead audit engagement teams, devise and perform complex analyses, and prepare documentation which establishes objectives, issues, options, and recommendations.
- Strong understanding of system security (Microsoft Windows Server/AD/XP, Linux/UNIX, SQL, Oracle, and WebSphere platforms).
- Strong understanding of network security (firewalls, routers, switches, IDS, crypto, PKI, VPN, anti-virus software, Internet).
- Strong understanding of IT controls, vulnerabilities, and assessment tools.
- Excellent interpersonal skills and the ability to work effectively as part of a team.
- Excellent written and oral communication and presentation skills.
- Superior organizational and time management skills.
- CISA, CISSP, MCSE, CPA, CIA or other related professional certification is a plus.
For career opportunities, please visit: http://dallasfed.org/careers/index.html
Search the Current Job Openings for the Eleventh District Jobs.
Internal Control Manager
Job Duties:
Maintain corporate-wide documentation that supports compliance with all
Sarbanes-Oxley regulatory requirements. Select and maintain central Sox
control database and software needed to ensure adequate retention and
documentation. Manage the Sarbanes-Oxley compliance program,
including participation in the testing of internal controls and tracking
of issues and action plans globally. Ensure that controls are
documented, communicated, and operated in compliance with all
Sarbanes-Oxley regulatory requirements. Ensure consistent
documentation efforts across business units. Serve as the
Corporate Subject Matter Expert (SME) related to Sarbanes-Oxley
regulations and requirements. Work with IT and Business Units to
assist in the identification of weaknesses and the definition of
solutions and corrective actions. Analyze trends and issues with
data collected and effectively communicate to appropriate personnel.
Support internal and external audit processes related to testing of
internal controls. Assist in the development of IT internal
control strategies which address technical infrastructure, information
security, and application controls. Assist in the development and
rollout of policies & procedures related to internal controls.
Present findings to Senior management and/or board of directors
periodically. Manage one Corporate-based resource and provide
leadership and dotted-line oversight over business segment Sox
resources. Additional responsibilities as assigned.
Required Skills/Education:
The Internal Control Manager must have a strong technical understanding
of internal controls, management information systems, and financial
reporting requirements. Candidate must have the ability to set and
manage priorities, meet deadlines within compressed timeframes and
handle multiple tasks simultaneously. Bachelor’s degree in
Accounting or Finance. 10 – 15 years of relevant experience with
Sarbanes-Oxley reporting or internal controls auditing. Direct and
indirect Supervisory experience. Prior experience in Accounting,
Finance in a public multi-national company. Demonstrated knowledge
of Sarbanes-Oxley regulatory and documentation requirements. MS Office
(Outlook, Excel, Word, PowerPoint). Strong managerial skills.
Ability to meet deadlines and manage multiple tasks. Knowledge of SOX
software and database tools. Strong presentation skills.
Ability to use influence and persuasion to achieve department goals and
objectives. Ability to work effectively in a multi-culture
environment.
Desired Skills:
CPA or CPA Candidate
CIA or CISA certifications
Master’s degree in Accounting, Finance or MBA
Experience in the energy industry or manufacturing field
Contact Information:
Cara Smith
Corporate Recruiter Dresser, Inc.
zz-cara.smith@dresser.com
Multi-lingual Internal Auditor
Job Description:
Establish and define the responsibilities, authority, reporting
relationships, requirements, duties, and performance standards for an
Internal Auditor at Dresser, Inc.
Manage the planning, execution and documentation of internal control testing. Secondary responsibility is to perform special projects as requested by the Director of Internal Audit. Provide independent assessment of financial and operational processes to management. Review processes, develop and execute test plans, which includes determining what items to sample and sample sizes, requesting and testing sample items in light of policy, procedure, and standard business practices. Make process improvement recommendations and provide guidance to assist with the implementation of corrective actions. Review for company policy compliance across operating units. Estimated travel required for this position is approximately 80% annually.
Required:
Bachelors Degree in Finance or Accounting
Bi-lingual in English and one of the following: French, Italian,
Spanish and/or German
2-3 Years Audit Experience
Proficient with MS Office (Outlook, Excel, Word, PowerPoint)
Strong organizational skills and ability to set priorities, meet
deadlines and handle multiple tasks
Good oral and written communication skills
Ability to work with minimal or no supervision
Preferred:
MBA
CPA or CIA
Contact Information:
Cara Smith
Corporate Recruiter Dresser, Inc.
zz-cara.smith@dresser.com
Sr. Internal Control
The Internal Control Senior is primarily responsible executing the assessment of corporate compliance Sarbanes-Oxley (Sox) compliance. The Internal Control is also responsible for designing the company-wide documentation and assessment processes which ensure SOX compliance, while continuously improving their effectiveness and efficiency.
Job Duties:
Maintain corporate-wide documentation that supports compliance with all
Sarbanes-Oxley regulatory requirements. Maintain central Sox control
data base and software needed to ensure adequate retention and
documentation. Assist in managing the Sarbanes-Oxley
compliance program, including participation in the testing of internal
controls and tracking of issues and action plans globally. Ensure
that Corporate Headquarter Key controls are documented, communicated,
and operated in compliance with all Sarbanes-Oxley regulatory
requirements. Serve as an additional Corporate Subject Matter
Expert (SME) related to Sarbanes-Oxley regulations and requirements.
Work with IT and Business Units to assist in the identification of
weaknesses and the definition of solutions and corrective actions.
Analyze trends and issues with data collected and effectively
communicate to appropriate personnel. Support internal and
external audit processes related to testing of internal controls.
Additional responsibilities as assigned.
Required Experience:
5 – 7 years of relevant experience with Sarbanes-Oxley reporting or
internal controls auditing. Prior experience in Accounting,
Finance in a public multi-national company. Demonstrated knowledge
of Sarbanes-Oxley regulatory and documentation requirements. MS
Office (Outlook, Excel, Word, PowerPoint). Ability to meet
deadlines and manage multiple tasks. Knowledge of Sox software and
database tools. Strong presentation skills. Bachelor’s
degree in Accounting or Finance
Preferred Skills/Education:
CIA or CISA certifications desired
Master’s degree in Accounting, Finance or MBA preferred
Please Contact:
Cara Smith
Corporate Recruiter Dresser, Inc
zz-cara.smith@dresser.com
Sr. Audit Analyst
POSITION SUMMARY: Responsible for the complex analysis of policies, procedures, financial documents and contracts to ensure accuracy of expenditures, maximization of revenues, efficiency and effectiveness of operations, and compliance with federal, state and local regulations and laws.
ESSENTIAL JOB FUNCTIONS: To perform operational and administrative review of techniques used to direct and control of services and products provided through the City's assets and resources. Review procedures and controls related to operations and assets disposition. Review the system of management controls in place to ensure that vendors and customers are in compliance with contracts. Review the cost control procedures used for operations expenditures. Review the revenue monitoring procedures used for operations revenues. Develop computer data retrieval reports to support analysis. Train Staff auditors in appropriate business procedures and internal controls
MINIMUM EDUCATION AND EXPERIENCE: Four-year college degree and 5 years related experience; or an equivalent combination of education and experience sufficient to successfully perform the essential functions of the job.
PREFERRED KNOWLEDGE, ABILITIES AND SKILLS: Knowledge of principles and practices used in governmental accounting processes and generally accepted auditing principles. Ability to identify and locate appropriate sources of information, and establish and maintain good working relationships with other City employees and peers in agencies outside the City. Ability to evaluate documents for accuracy and appropriateness, be objective and unbiased, determine if errors are present in formulas or documents, prepare and present complex written and oral reports, and communicate effectively. Four-year college degree in governmental accounting or similar field of study; and 4-5 years experience in government auditing is preferred. Master’s degree preferred.
LICENSES AND CERTIFICATIONS: Valid Class C Texas Driver's License and CIA or CPA certification required.
PHYSICAL TASKS AND WORKING CONDITIONS: The incumbent works in a typical office environment; relatively free from unpleasant environmental conditions or hazards, but the nature of the position may require travel to various sites.
Application can be made by applying at www.ci.garland.tx.us.
Valero Energy Corporation (7/17/08)
At
Valero, you will have the chance to work with a talented team of
individuals to complete challenging and rewarding tasks and also work at
a company that is recognized as one the best managed and best companies
to work for in the country. Recent recognitions include:
- #1 on Fortune Magazine's Best Big Companies to Work For
- #1 on Forbes Magazine's annual listing of the Platinum 400 – The Best Big Companies in America
- #67 on Fortune Magazine's list of the 100 Best Companies to Work For
- One of Forbes' Best-Managed Companies in America
Internal Auditor (2 Positions)
San Antonio, TX
Responsibilities:
Assists Internal Audit Management in the optimization of profits,
safeguarding of corporate assets and ensuring the reliability and
accuracy of financial data by making an examination and appraisal of
financial and operating controls and procedures to provide suggestions
for improvements and recommendations concerning activities reviewed.
Examines activities of all areas of the Corporation to determine the
extent of compliance with policies, plans, and procedures and rules of
regulatory agencies. Evaluates to the extent possible, through the audit
process, managerial effectiveness in the attainment of objectives.
Assists in audit project planning including initial client interviews,
preparation of audit planning memorandums and risk matrices. Assists in
the development of audit program procedures to address risks identified
in the approved risk matrices. Executes audit program procedures,
clearly and concisely documents testing performed and findings. Keeps
audit in-charge informed of execution issues and findings. Develops
practical recommendations which will be accepted by management. Advises
audit in-charge of the need for subject matter expertise to ensure the
efficient execution of the audit, including the need for IT audit
involvement. Assists in the preparation of written reports of audit
results and the follow up of audit recommendations made to ensure
implementation. Assists Internal Audit management in discharging
administrative responsibilities as needed.
Requirements:
Bachelor's degree in Accounting or related field required. Minimum three
years of internal auditing, public accounting, or general accounting
experience required. Microsoft Office applications and database
application experience required. Strong analytical, communication and
human relations skills preferred. Excellent oral and written
communication skills to interact with internal and external contacts
required. Ability to work under time constraints to complete the annual
Audit Plan and to assist our independent public accountants on annual
audit assignments. Previous experience with refining, manufacturing, or
contractor compliance audits desirable.
CANDIDATES WITH GREATER QUALIFICATIONS MAY BE CONSIDERED FOR A HIGHER LEVEL POSITION.
PLEASE APPLY ONLINE AT http://valerojobs.ats.hrsmart.com/iia4358
IT Audit Specialist
San Antonio, TX
Responsibilities:
Assists with the planning and delivery of audit related services
including risk assessments, system development reviews, integrated
operational reviews, and general control reviews over a wide range of
information technology areas. Assists in the execution of traditional
audits over a variety of applications and platforms, requiring specific
technical expertise in some cases. Suggests new or improved procedures
and techniques related to the testing and monitoring of internal
controls over systems and technology to secure access to Company data
and assets and enhance the overall profitability and efficiency of the
Corporation. Assists in the planning and execution of audit work,
including work paper review and project oversight.
Requirements:
Bachelor's degree in Accounting, MIS, or related field required. Minimum
5 years of internal auditing public accounting experience, or
information services required, including at least three years of
Information Technology (IT) auditing. Experience in auditing Application
Specific controls (e.g., SAP controls, etc.) and/or Information Security
concepts strongly preferred. General Computing Control audit experience
is strongly preferred. Understanding of Audit principles including
control framework concepts and the practical application of such
concepts within the Corporation's information systems is required. CISA,
CIA, CISSP, and other applicable certifications are desired. Specific
experience in the refining and marketing business preferred. Proficiency
with Microsoft Office Suite required, with proficiency in database
management software tools, data query tools (ACL or IDEA), and SAP
strongly preferred. High degree of initiative and creativity required
because each audit assignment will require a different approach.
Excellent oral and written communication skills are required in order to
facilitate effective and efficient interaction with internal and
external contacts. Ability to deliver work products under time
constraints to complete the annual Audit Plan, particularly while
assisting our independent public accounts as a part of the annual
external audit process.
CANDIDATES WITH GREATER QUALIFICATIONS MAY BE CONSIDERED FOR A HIGHER LEVEL POSITION.
Please apply online at http://valerojobs.ats.hrsmart.com/iia2360
Parkland Health & Hospital System (7/15/08)
Internal Auditor
Parkland Health & Hospital System
Dallas, Texas
At Parkland, we care about our patients and our employees. Parkland employs over 7,500 people and has full and part-time job opportunities throughout the 900-bed hospital and its community-based clinics. We have been recognized as one of Verispan’s 100 most integrated health networks and U.S.News & World Report’s “America’s Best Hospitals.”
Internal Auditor
Description
In this position, you will conduct audits of specific
operations throughout our hospital. This involves gathering and
interpreting data, summarizing findings and presenting recommendations
for improvement.
Requirements
We’re looking for a detail-oriented
individual with solid communication, interpersonal, analytical and
negotiation skills. You must have a Bachelor’s degree in Business with
18 hours of accounting courses plus 2 years’ related experience in a
healthcare setting. Applicants with a Bachelor’s degree in Business with
18 hours of accounting courses and 4 years’ related experience in an
internal audit environment will also be considered. Proficiency with
spreadsheet, flow charting and word processing software is crucial. The
ability to prioritize multiple tasks is essential to success.
To apply:
Please e-mail, mail or fax your resume to:
Parkland Health &
Hospital System
5201 Harry Hines Blvd.
Dallas, TX 75235
Attn: Danilio Davila
E-mail: ddavil@parknet.pmh.org
Fax: 214-590-2767
www.parklandcareers.com
EOE
Audit Associate II
Be Valued. Be Valuable. Be Here!
At Capital One, we value passion, innovation, and out-of-the-box thinking. Our associates’ daily actions translate into creative products and can-do service, generating value for our customers, coworkers and communities. Come be a part of the future, as Capital Ones uses its Values of Excellence and Do the Right Thing to become one of the world’s greatest financial leaders.
So what does this mean for you? How about the chance to excel in our supportive, team-oriented environment? To be challenged to advance your skills alongside the brightest talent in the business, and to take on important responsibility from day one while building a rewarding career – all with a fast-growing industry leader.
Capital One is seeking an Audit Associate II to join our Corporate Audit Services team at our newly built location at Legacy in Plano, Texas. This position will be responsible for performing professional internal auditing work that involves conducting financial, operational, Sarbanes-Oxley, and compliance audit projects and providing input to the development of the annual audit plan. An Audit Associate II maintains all organizational and professional ethical standards and works under limited supervision, with certain latitude for initiative and independent judgment.
- Basic Qualifications:
- Bachelors Degree
- 1 year of internal or external auditing or compliance experience identifying risks and controls
- Proficient in Word and Excel
Capital One Bank offers competitive salaries and an excellent benefits package including: medical, dental, disability, cancer, vision, 401(k), paid vacation and holidays, EAP, MBA educational assistance and many opportunities for advancement. EOE/AA.
Audit Associate III
Be Valued. Be Valuable. Be Here!
At Capital One, we value passion, innovation, and out-of-the-box thinking. Our associates’ daily actions translate into creative products and can-do service, generating value for our customers, coworkers and communities. Come be a part of the future, as Capital Ones uses its Values of Excellence and Do the Right Thing to become one of the world’s greatest financial leaders.
So what does this mean for you? How about the chance to excel in our supportive, team-oriented environment? To be challenged to advance your skills alongside the brightest talent in the business, and to take on important responsibility from day one while building a rewarding career – all with a fast-growing industry leader.
Capital One is seeking an Audit Associate III to join our Corporate Audit Services team at our newly built location at Legacy in Plano, Texas. This position will be responsible for performing professional internal auditing work that involves conducting financial, operational, Sarbanes-Oxley, and compliance audit projects and providing input to the development of the annual audit plan. An Audit Associate III maintains all organizational and professional ethical standards and works under limited supervision, with certain latitude for initiative and independent judgment.
Basic Qualifications:
- Bachelors Degree
- 2 years of internal or external auditing or compliance experience identifying risks and controls
- Proficient in Word and Excel
Capital One Bank offers competitive salaries and an excellent benefits package including: medical, dental, disability, cancer, vision, 401(k), paid vacation and holidays, EAP, MBA educational assistance and many opportunities for advancement. EOE/AA.
We are eager to meet you!
In order to be considered for either position, please apply to the position and submit a resume by visiting our website and searching for reference number 603288 www.capitalonebank.comcareers
Or you may send an email to jamie.busler@capitalonebank.com for additional information. EOE/AA
Dr Pepper Snapple Group (6/5/08)
Sr. Corporate Auditor
Purpose
The Senior Corporate Auditor will execute corporate audit assignments and assist with Sarbanes Oxley (SOX) compliance throughout the company. Assist in providing recommendations that improve internal controls, add value and/or create greater efficiencies with respect to operations and financial reporting. Work with key audit resources to complete assigned projects on schedule. There will be some exposure to senior management throughout the organization
Accountabilities
- Assist the Manager of Corporate Audit in performing company-wide annual risk assessments and preparation and execution of the annual audit plans
- Responsible for executing complex audits; assist in the performance of critical project management duties including the planning, scheduling, coordinating, reviewing and reporting of the work of audit teams; and providing expertise in auditing standards and performance criteria, audit requirements, and information technology skills
- Execution of assignments related to operational auditing, financial auditing, and SOX compliance
- Maintain corporate audit independence and objectivity in all assignments while developing and maintaining effective and value-adding business partnerships
- Assist in the developing and executing of corporate audit procedures, schedules, priorities and programs for achieving audit objectives and goals
- Preparing audit reports using sound writing skills
- Participate in special assignments as deemed necessary by the Manager of Corporate Audit and management
- Ensure that recommendations are clearly presented to and agreed to by management and that a subsequent audit report is issued promptly
- Ensure that all agreed recommendations are subsequently implemented;
- Stay abreast of best practices and provide conduit for introducing those practices to the company
Prerequisites
Experience:
- Three or more years of accounting and auditing experience, including at least one year of supervisory experience, with a minimum of two years of public accounting and/or internal audit experience; large public company experience preferred.
- Experienced with SOX and risk assessment methodologies;
- Information systems audit experience a plus
Education:
- Bachelor or Masters degree with an emphasis in accounting or finance.
- CPA, CIA, CISA, CMA, MBA, and/or MS Finance preferred.
Skills:
- Demonstrated team skills
- Demonstrates initiative and drives for results
- Takes accountability for scope of control
- Strong interpersonal skills – ability to work closely with people at all levels of the organization and facilitate the implementation of corrective action;
- Project management experience strongly desired;
- Ability to influence business partners and key stakeholders
- Excellent verbal and written communication and presentation skills
- Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
- Proficient in MS Word, Excel, Visio, and PowerPoint.
- Ability to work in all types of environments from manufacturing plants and distribution centers.
- Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 50%);
Manager SOX Tools Reporting
Purpose
Provide executive reporting and change leadership for all aspects of the SOX program. Develop and implement training programs across DPSG around internal controls. Maintain the compliance tool(s) used for documentation, self-reporting, and testing of internal controls. Facilitate planning and execution of Business Unit and Corporate monitoring and self-assessment processes.
Accountabilities
- Provide executive reporting and change leadership for all aspects of the SOX
program:
- Effectively transition the organization through changes necessary for compliance effectiveness, leveraging an understanding of how to transition individuals through phases of change.
-
Provide guidance on the steps in the compliance process, including project
deadlines and how to use compliance tools.
Monitor and communicate the progress of the compliance effort. Facilitate periodic informational meetings, conference calls, and web-casts with key stakeholders, process owners, and control owners. - Oversee all communications regarding the SOX program. Create and maintain a communications matrix which identifies key stakeholders, key program events, and recommended communication media and frequency.
- Prepare executive presentations for key meetings, including Disclosure Committee, Audit Committee, and SOX Steering Committee.
- Assist with designing standardized processes and controls and related documentation where DPSG policies do not exist.
- Develop and implement training programs across DPSG around internal controls:
- Provide process and system training to new control owners or other stakeholders across Business Units and functional departments.
- Provide regular training that ensures that management and process owners are conversant with the Company’s internal controls policies, procedures, and new regulations, as well as changes related to evolving organizational and technology landscapes.
- Maintain the compliance tool(s) used for documentation, self-reporting, and
testing of internal controls:
- Lead a project team to evaluate, purchase and implement a compliance software solution.
- Maintain updates to the SOX controls framework, organizational hierarchy, and user access profiles in the compliance software solution. Maintain a change control process to ensure changes to key documentation are approved and up to date.
- Gather user requirements for determining and creating reporting mechanisms and dashboards. Serve as a subject-matter-expert for evaluating and developing solutions for complex metric and analysis gathering.
-
Open system support tickets for problem resolution and follow up to ensure
agreed upon service levels is met. Provide second level user support for system
problem resolution.
Serve as liaison between users, software vendors and IT to resolve complex issues. - Create and maintain the Sarbanes-Oxley Compliance intranet site and project database.
- Other Accountabilities:
- Perform numerous special projects, research assignments, and financial analyses and financial model creation as directed by the Director, SOX Compliance.
- Participate in key meetings on the behalf of the Director as needed.
- Leader for the SOX Tools and Reporting Team. Manage career development and ongoing training of direct reports.
Prerequisites
Experience:
- 8+ years related experience, internal audit and/or public accounting background preferred
- Proven knowledge of sound internal control principles along with demonstrated ability to provide solutions to control issues.
- Proven ability to work individually and within a team environment, build strong relationships and maintain rapport with cross-functional Business Unit and Corporate teams.
- Experience leading organizational change is strongly preferred.
Education:
- Bachelor’s degree in a business discipline or Information Systems. MBA preferred.
- Ideal candidate will have professional certifications in Accounting/Audit (CPA, CIA, or CMA), Project Management (PMP), or Human Resources (PHR).
Skills:
- Strong leadership and team-building skills
- Ability to influence/persuade senior managers, business partners and key stakeholders
- Strong communication and presentation skills
- Strong project management abilities.
- Ability to manage details on multiple concurrent tasks while meeting various deadlines.
- Takes full accountability and effectively identifies and drives problem solving opportunities
- Demonstrates initiative and drives for results
- Project management experience
- Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
- Proficient in MS Office Suite of programs.
- Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 20%).
Manager SOX Framework Testing
Purpose
Leads a major portion of the DPSG Sarbanes-Oxley (SOX) compliance efforts by owning the controls framework and coordinating the annual and ongoing testing approach. Responsible for the evaluation of internal controls testing results, and reporting the results to senior management. Coordinates the SOX efforts of Business Unit internal controls leadership, process owners, PMO team members, Internal Audit across the Company.
Accountabilities
- Develop and manage the SOX controls framework and the annual SOX compliance
plan:
- Develop, implement, and communicate the Company’s annual SOX compliance plan.
- Coordinate appropriate changes to the Controls Framework process with all appropriate constituents – including Internal Audit, external auditors, Business Unit leadership, external consultants, and corporate management.
- Coordinate the annual and ongoing testing approach, and evaluate testing
results:
- Collaborate with Internal Audit to plan and schedule independent testing for all in-scope locations (including entity, Corporate, Business Units, Information Systems, Shared Services, and BPO controls).
- Implement the Company’s Sarbanes-Oxley testing and evaluation plan and develop ongoing procedures for maintaining records of testing results. Provide metrics that measure effectiveness these of initiatives.
- Oversee the remediation and re-testing of DPSG’s internal controls for all locations.
- Ensure all quarterly validation processes for SOX controls company-wide (including testing, checklists, & self assessments) are aligned, coordinated, and actively managed.
- Respond to all internal control matters identified in Internal Audit reports and Deloitte management letters and field procedures.
- Coordinate SOX-related process improvement initiatives with key stakeholders
across the Company.
- Document business processes, related controls, and key roles and responsibilities through process narratives (collaborate with process owners). Recommend enhancements where policies do not exist.
- Develop internal controls best practices initiatives and proactively investigate control deficiencies associated with business operations throughout the Company.
- Recommend and implement manual and system process improvements, which result in greater internal control efficiencies and effectiveness.
- Incorporate key learning’s from audit reports and testing results, as well as from SAS70 reports and other external SOX best practice/guidance documents.
- Work closely with internal and external auditors for synergies and coordination of ongoing improvement to the Controls Framework and SOX testing programs.
- Other Accountabilities:
- Perform numerous special projects, research assignments, and financial analyses and financial model creation as directed by the Director, SOX Compliance.
- Participate in key meetings on the behalf of the Director as needed.
- Leader for the SOX Framework and Testing Team. Manage career development and ongoing training of direct reports.
Prerequisites
Experience:
- 8+ years related experience, internal audit and/or public accounting background preferred
- Proven knowledge of sound internal control principles along with demonstrated ability to provide solutions to control issues.
- Proven ability to work with individually and within a team environment, build strong relationships and maintain rapport with cross-functional Business Unit and Corporate teams.
- Experience leading process redesign/process documentation projects is preferred.
Education:
- Accounting or Finance degree required. MBA preferred.
- Ideal candidate will have professional certifications in Accounting/Audit (CPA, CIA, or CMA)
Skills:
- Strong leadership and team-building skills
- Ability to influence/persuade senior managers, business partners and key stakeholders
- Strong communication and presentation skills
- Strong project management abilities.
- Ability to manage details on multiple concurrent tasks while meeting various deadlines.
- Takes full accountability and effectively identifies and drives problem solving opportunities
- Demonstrates initiative and drives for results
- Project management experience
- Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
- Proficient in MS Office Suite of programs.
- Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 20%).
Internal Controls Specialist – Framework Testing
Purpose
Responsibilities include analyzing, designing, documenting, monitoring, and maintaining an effective and efficient Sarbanes-Oxley (SOX) internal control environment in accordance with company policies and procedures. This position requires effective project management, recommendation of process improvements, and proactive follow-through and coordination with key stakeholders across the enterprise.
Accountabilities
- Lead process design, documentation and improvements:
- Provide appropriate guidance for internal controls compliance and related process improvements for process owners, control owners, and other stakeholders
- Assist with designing standardized processes and controls and related documentation where DPSG policies do not exist.
- Develop action plans for ongoing maintenance and monitoring of internal controls in accordance with established company policies and procedures and regulatory requirements, including the Sarbanes-Oxley Act.
- Recommend and implement process improvement solutions, which result in greater controls efficiencies and effectiveness.
- Develop associated communication, education and training to advance the ability of our user community to leverage these improvements.
- Provide consolidation, analysis and report preparation of results for senior management.
- Provide enhancements, process documentation, training and awareness materials and communication vehicles.
- Assist with the design and implementation of internal controls training for control owners and audit staff.
- Conduct walk-throughs of processes and develop control guidance documentation materials.
- Respond to internal control matters identified in internal and external audits.
- Serve as a knowledgeable resource for internal controls, providing guidance and instruction to ensure compliance with company policies, procedures, and methodology, including requirements for SOX compliance.
- Ensure that all compliance and process improvement activities follow the appropriate change management, governance, and documentation requirements.
- Execute implementation plans for new tools and processes for internal controls compliance, which allows achievement of compliance objectives in an effective and cost-efficient manner.
- Other Accountabilities:
- Perform numerous special projects, research assignments, and financial analyses and financial model creation as directed by the SOX Manager.
- Facilitate key meetings with process owners and other stakeholders as needed.
Prerequisites
Experience:
- 5+ years related experience, internal audit and/or public accounting background preferred
- Proven knowledge of sound internal control principles along with demonstrated ability to provide solutions to control issues.
- Proven ability to work with individually and within a team environment, build strong relationships and maintain rapport with cross-functional Business Unit and Corporate teams.
Education:
- Bachelor’s degree in a business discipline or Information Systems. MBA preferred.
- Ideal candidate will have professional certifications in Accounting/Audit (CPA, CIA, or CMA),
Skills:
- Strong leadership and team-building skills
- Ability to influence/persuade senior managers, business partners and key stakeholders
- Strong communication and presentation skills
- Strong project management abilities.
- Ability to manage details on multiple concurrent tasks while meeting various deadlines.
- Takes full accountability and effectively identifies and drives problem solving opportunities
- Demonstrates initiative and drives for results
- Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
- Proficient in MS Office Suite of programs.
- Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 20%).
Internal Controls Specialist – Tools Reporting
Purpose
Responsibilities include analyzing, designing, documenting, monitoring, and maintaining an effective and efficient Sarbanes-Oxley (SOX) internal control environment in accordance with company policies and procedures. This position requires effective project management, recommendation of process improvements, and proactive follow-through and coordination with key stakeholders across the enterprise.
Accountabilities
- Lead process design, documentation and improvements:
- Provide appropriate guidance for internal controls compliance and related process improvements for process owners, control owners, and other stakeholders
- Assist with designing standardized processes and controls and related documentation where DPSG policies do not exist.
- Develop action plans for ongoing maintenance and monitoring of internal controls in accordance with established company policies and procedures and regulatory requirements, including the Sarbanes-Oxley Act.
- Recommend and implement process improvement solutions, which result in greater controls efficiencies and effectiveness.
- Develop associated communication, education and training to advance the ability of our user community to leverage these improvements.
- Provide consolidation, analysis and report preparation of results for senior management.
- Provide enhancements, process documentation, training and awareness materials and communication vehicles.
- Assist with the design and implementation of internal controls training for control owners and audit staff.
- Conduct walk-throughs of processes and develop control guidance documentation materials.
- Respond to internal control matters identified in internal and external audits.
- Serve as a knowledgeable resource for internal controls, providing guidance and instruction to ensure compliance with company policies, procedures, and methodology, including requirements for SOX compliance.
- Ensure that all compliance and process improvement activities follow the appropriate change management, governance, and documentation requirements.
- Execute implementation plans for new tools and processes for internal controls compliance, which allows achievement of compliance objectives in an effective and cost-efficient manner.
- Other Accountabilities:
- Perform numerous special projects, research assignments, and financial analyses and financial model creation as directed by the SOX Manager.
- Facilitate key meetings with process owners and other stakeholders as needed.
Prerequisites
Experience:
- 5+ years related experience, internal audit and/or public accounting background preferred
- Proven knowledge of sound internal control principles along with demonstrated ability to provide solutions to control issues.
- Proven ability to work with individually and within a team environment, build strong relationships and maintain rapport with cross-functional Business Unit and Corporate teams.
Education:
- Bachelor’s degree in a business discipline or Information Systems. MBA preferred.
- Ideal candidate will have professional certifications in Accounting/Audit (CPA, CIA, or CMA),
Skills:
- Strong leadership and team-building skills
- Ability to influence/persuade senior managers, business partners and key stakeholders
- Strong communication and presentation skills
- Strong project management abilities.
- Ability to manage details on multiple concurrent tasks while meeting various deadlines.
- Takes full accountability and effectively identifies and drives problem solving opportunities
- Demonstrates initiative and drives for results
- Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
- Proficient in MS Office Suite of programs.
- Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 20%).
To apply to any of the positions above, please send resumes to: Rhonda.Merchant@dpsg.com.
Equal Opportunity Employer
M/F/D/V
The University of Texas Health Science Center at Tyler (5/21/08)
Senior Auditor
The University of Texas Health Science Center at Tyler
Tyler, Texas
A Senior Auditor provides customers with professional risk assessment and auditing skills while participating in engagements of assigned organizational and functional activities to evaluate management control over those activities.
Responsibilities
- Determines whether organization units are performing their planning, accounting, custodial, and/or control activities in compliance with management instructions, applicable statements of policy and procedures, consistent with both University of Texas System and UTHSCT objectives and administrative practice standards.
- Plans and executes complete reviews of limited audit assignments, or conducts portions of reviews of extensive audit assignments, in accordance with accepted professional standards.
- Determines or assists in determining the direction, theory, scope, and procedures utilized for the proposed audit program.
- Identifies key control points of the systems reviewed.
- Obtains, analyzes, and appraises evidentiary data as a basis for an informed, objective opinion of the adequacy and effectiveness of the system and the efficiency of the performance of the activities being reviewed.
- Makes presentations to management during and at the conclusion of the examination, discussing deficiencies and recommending corrective actions to improve operations and reduce cost.
- Assists in preparing or prepares formal written reports, as requested, expressing opinions on the adequacy and effectiveness of the system and efficiency with which activities are carried out.
- Appraises, or assists in appraising, the adequacy of the corrective action taken to improve deficient conditions.
- Performs or assists in the performance of special reviews at the request of management.
- Directs the activities of team members when assigned.
- Other duties as assigned.
Professional Qualifications
- Bachelor’s degree in business related areas of study preferred but will accept bachelor’s degrees in other disciplines with four (4) years or more of auditing experience.
- Three (3) years of internal auditing experience in an academic medical institution or healthcare organization preferred or four (4) years of general internal/external auditing experience required.
- Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) preferred.
- A successful candidate without certification will be required to demonstrate positive progress towards obtaining at least one preferred certification.
Compensation
The University of Texas Health Science Center at Tyler offers a competitive salary and state benefits package to include medical/dental/eye care plan (including family coverage), state retirement, life insurance, cafeteria plan for childcare and medical, disability benefits, excellent vacation accrual, sick time, and state holidays. Relocation assistance is available for candidates moving over 100 miles.
Contact Information
Interested candidates may apply on-line via the web at www.uthct.edu. Find the “Careers” link, then go to “Start Job Search”, select “Career Opportunities”, and in the drop down menu on the next page find the listing for Senior Auditor.
For more information contact The University of Texas Health Science Center at Tyler:
Human Resources Main Line: (903) 877-7740
Human Resources Fax: (903) 877-7729
Specific job requirements or physical location of some positions allocated to this classification, may render this position security sensitive, and thereby subject to the provisions of Section 51.215, Texas Education Code. The University of Texas Health Science Center at Tyler is an EEO/AA Employer M/F/V/D.
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