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411 for the 404: TPA, HIPAA, PBM
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This
meeting is being held at
| Please note this meeting is being held on TUESDAY |
Contact: Greg Estes |
Meeting / Luncheon Fees: IIA
& AGA Members: $25 |
Reservations must be received by 5:00 pm on Thursday, November 10, 2005 or a $5 late fee will be charged.
We reserve the right to bill for "no-shows."
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 website. 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 Jay Blanchard at 972-917-6963 or jayblanchard@ti.com
After you place your reservation online, you will see the
link to pay via PayPal if desired.
Chapter News
Congratulations To Our New CIAs, CCSAs And CGAP!
Congratulations
to Our New CIAs!
The Dallas Chapter has 27 new Certified Internal Auditors! The new
CIA’s were honored at the October 6th Chapter luncheon. The
following passed the May 2005 exam and completed their certification
requirements:
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Congratulations to Our New CGAP!Congratulations also go to Kipling Stanley who was honored at the October 6 luncheon for completing her Certified Government Auditing Professional (CGAP) requirements!
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Congratulations to New CCSAs!
The following passed the May 2005 exam and completed their Certification in Control Self-Assessment (CCSA) requirements:
- Catherine Griffith
- Tom McQueen
November 2005 Exams
The CIA and other certification exams will be held on November 16 (Part I and II) and 17 (III and IV) at The University of Texas at Dallas School of Management (SOM) Building, rooms 1.502, 1.508, and 1.517. The SOM building is located at Campbell Road. and University Parkway in Richardson. For directions and a map, see the Website: http://www.utdallas.edu/campusmap.html . If you are taking the exam, please allow plenty of time to arrive and find the room that you will be assigned. We have added an additional room.
CIA Exam Times
Part I and Part III:
8:30 a.m. to 12:00 p.m.
(08:30 – 12:00) Local Time
Part II and Part IV (and other certification exams):
1:30 to 5:00 p.m.
(13:30 – 17:00) Local Time
For other certification exams, see The IIA’s website at http://www.theiia.org/index.cfm?doc_id=12.
Help! We Need Proctors!!!
If you’re interested in being a proctor for any of the four parts of the certification exams, please contact Toni Messer at tmesser@utdallas.edu or 972-883-2693. You will receive CPE for your service, and the IIA can also reimburse you for incidental expenses, such as lunch.
IIA Research Foundation
The Research Foundation has a number of reports that are scheduled to be released in the 4th quarter of 2005. A brief summary of these include:
- Survey and Analysis of Communication Systems Required by the SOX Act of 2002 - This study is designed to identify factors that are related to effective audit committee communication emanating from the internal audit function. It focuses on communication of (a) wrongdoing to upper management; and (b) newly-found risks that had not been previously identified in the internal auditor’s discussion of risk analysis with the audit committee members.
- Control Practices in Collaborative Inter-Organizational Settings - Firms are increasingly using collaborative arrangements (e.g., joint ventures, strategic alliances, etc.) to complete transactions requiring inter-organizational involvement & coordination. This research seeks to identify, categorize, and quantify common and systematic risks associated with the formation and performance management of innovative inter-organizational forms; control practices currently being implemented; and effectiveness of chosen control practices.
- XBRL: Potential Issues and Opportunities for Internal Auditors - XBRL is a specification for the electronic packaging of financial and business information that major companies and government agencies are incorporating into their organizations' operations or products. It is important that internal auditors take a proactive approach to XBRL so that they can be valuable resources to their own organizations regarding XBRL activities. The proposed project will identify XBRL issues and opportunities for internal auditors and their organizations and provide an XBRL Primer including tutorial materials.
- The Role of the Internal Audit Function in Enterprise-wide Risk Management (ERM) - The purpose of the proposed study is to obtain survey data describing the roles that internal auditing is currently playing in the ERM process and the ERM roles that internal auditors believe are appropriate within their organizations, irrespective of whether they are currently playing those roles.
Endorsed Internal Audit Program at the
University of Texas at Dallas Update
Lots of Events and Activities….
With the Fraud Seminar now behind us, along with a number of exciting site visits including Southwest Airlines and a visit to the Construction site at UTD sponsored by Centex, we have even more activities to look forward to in November. We had over 130 attendees at the Fraud Seminar, which was presented by the Criminal Investigation Unit of the IRS. We also had a special luncheon presentation on Identity Theft sponsored by the Postal Service. As discussed by the lunch speaker this is an area of significant growth.
The CIA exam is coming up along with another seminar sponsored by ISACA at UTD. This seminar has one of the foremost experts on Cyber Attacks speaking on Cyber Attack Detection, Investigation and Counter Measures. For more information and registration, refer to: http://www.isacantx.org/events.cfm. Unfortunately it is also on November 16, the first day of the CIA exam, so plan on additional traffic at the School of Management due to both events taking place on the same day and starting early that morning.
If you are interested in recruiting on campus or assisting the program in any way, please contact Mark Salamasick at 972-883-4729 or mark.salamasick@utdallas.edu. We are always looking for additional site tours of Internal Audit groups. The Student Chapter has a completely new look on the Web site and resumes of those in the program are now available online. The Web site is www.utdallas.edu/orgs/iia. Contact Mark Salamasick for password access to the resumes.
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 October earlier if not reported. 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 November 15, 2005. Contact Magdalena Kovats (214-777-0581 or magdalena.kovats@resources-us.com) if you have any questions.
Seminars
We have listed on our website other audit related seminars presented by other local professional organizations as well as other Texas IIA chapters. Please visit http://dallasiia.org/Seminars.htm for all the details.
Career Opportunities
Are you currently in the job market either voluntarily or involuntarily? Let the Employment Committee help you. Send us your resume and we will include you in our resume database. We receive calls from recruiters and hiring managers for open positions and will forward your resume if there is a match. We get calls for staff to director levels, IT to finance, local to out of town. All inquiries will be handled confidentially. If you have any questions, give us a call or e-mail us. We look forward to helping you.
Fred Herman, Employment Committee Chairman, 972-801-1208, fsjnherman@aol.com.
- UICI, Inc.
- Ratliff Associates
- Gateway Group Personnel
- PNM Resources
- The Controller Group
- City of San Antonio (3)
- Grant Thornton (3)
UICI is a health and life insurance company with its headquarters located in North Richland Hills, TX. We are searching for the following full time position in our headquarters location:
DATA ANALYST
Requirements: The Data Analyst will perform the following duties under the supervision of the IT Audit Manager
- Prepare or assist in the preparation of data extracts that will be used to perform tests on specific financial, operational and technology controls and business processes
- Perform preliminary analysis to define data requirements and desired output
- Select and prepare source data and input file definitions for ACL
- Proficiency in handling complex data types, including binary, zoned and packed data
- Develop the appropriate expressions in ACL, including queries, filters, arguments and tables for the execution of efficient and accurate data analysis routines Analysis and interpretation of resulting data, including the use of Benford’s Law
- Prepare batch data analysis programs for continuous monitoring of controls as needed
- Prepare and format output for effective and accurate reporting to management
- 2-3 years experience in data analysis
- 4 year degree Applicable Professional Certifications
- Strong written and verbal communication and interpersonal skills
- Strong analytical skills
- Ability to consult with customers on their requirements and desired results
- Proficiency in ACL required; proficiency in other data analysis tools such as IDEA, Netmap, i2/iBase a plus
- Proficient in working with database applications, including Microsoft Excel, Access and SQL Server
- Interact with all layers of management
- Willing to travel 30%
- Perform special projects/other duties as required
Preferred:
- Familiarity with regulatory requirements, such as Sarbanes-Oxley, HIPAA, Graham-Leach-Bliley, etc.
- Insurance or financial services industry experience
- Knowledge of COSO and/or CobiT controls frameworks
- Degree in Accounting, Information Technology or a related discipline
Other Qualities:
- Has initiative
- Works well in a team environment or on individually assigned projects
- Flexible
- Strong work ethic
Please send your resume with salary requirements to Doug.Arrington@UICI.net.
214.570.8483
Internal Auditor
Ratliff Associates, recruiters of Accounting and IT professionals, is immediately seeking an Internal Auditor with a minimum of five years experience for the following opportunity. Client is a very stable and growing, publicly traded, Las Colinas company. Position reports to the Director of Internal Audit as part of four member team. Excellent benefits (pension) and employee friendly environment!
General Summary
The internal auditor will: plan and direct audits related to the companies’
policies, procedures, information technology (IT) systems, and business
processes; develop audit programs, prepare reports, briefs all levels of
management, and maintain high standards for workpaper accuracy and completeness;
and identify business risks and provide advice and consultation to management on
internal controls to manage their business risks.
Principal Duties and Responsibilities
- Consult with and advise internal clients on the development and implementation of effective and cost efficient internal controls to manage business risks and improve their business processes.
- Determine organizational compliance with Company standards, policies and commonly accepted business and IT practices.
- Effectively communicate with the client regarding identified risks and jointly develop solutions to mitigate the risks.
- Identify opportunities for increasing efficiency of business, IT, and administrative functions.
- Continually monitor compliance with the existing system of internal controls and make recommendations for change as appropriate.
- Continually monitor, review and support the company’s compliance with Sarbanes-Oxley.
- Develop an open and positive relationship with all levels of line and executive management based on mutual trust and respect and a focus on common business objectives.
Required Knowledge, Skills and Abilities
Undergraduate degree in a relevant discipline such as accounting
Certification (CPA, CIA) is preferred
Knowledge of generally accepted accounting, financial, operational and
information auditing concepts, techniques, and terminology (e.g., GAAP, COSO,
COBIT)
Minimum five to ten years audit experience in a combination of public accounting
and industry
Ability to work independently Highly analytical and organized
Strong work ethic and high degree of initiative
Willingness to travel—estimate 25%
Competitive Salary and benefits
Qualified candidates, please forward your resumes to connie@ratliffassociates.com
Gateway Group Personnel (10/21/05)
Director & Manager – Internal Audit (Dallas, TX)
Successful organization with headquarters in Dallas is seeking a Director and Manager to lead their recently established internal audit function. The selected candidates will be responsible for all planning and execution of the internal audit department and identifying areas of weakness. Sarbanes Oxley compliance will be a primary task as well as making presentations to the audit committee and the Board of Directors. Travel will be required up to 50% initially. Accounting degree with 9+ years of experience (Director) and 5+ (Manager). Big 4, CPA, Master’s, and large publicly-traded internal audit experience are pluses. Competitive compensation and benefits package will be offered. Relocation assistance provided. Please contact Ron Franks with Gateway Group Personnel at (901) 756-6050 (office) or (901) 409-0748 (mobile). Also visit our website at www.gatewaypersonnel.com or call for additional listings throughout the Southeast (Atlanta, Memphis, Birmingham, Miami, East Coast, others).
Senior Auditor
Responsibilities:
Provides management with business risk analysis, regulatory compliance
assurance, internal control assessments, and the efficiency/adequacy of business
systems and processes by focusing on ongoing operations. Under general
supervision, conducts financial, compliance, and operational audits for
management to assess effectiveness of controls, accuracy of financial records,
and efficiency of operations. The incumbent will examine departments throughout
the Company for compliance and inspect accounting systems to determine their
efficiency.
Education / Work Experience Requirements:
Bachelor’s degree (B.A.) from a four year college / university in Accounting or
related field with 2 – 4 years related experience, or an equivalent combination
of education/work experience.
Sarbanes-Oxley, public accounting experience and a CPA are strongly preferred.
PNM Resources (NYSE: PNM) is an energy holding company based in Albuquerque, New Mexico. Its utility subsidiaries are PNM and Texas-New Mexico Power. Other subsidiaries include First Choice Power, a deregulated competitive retail electric provider in Texas, and Avistar, an energy research and development company. PNM Resources and its subsidiaries also sell power on the wholesale market in the West.
For more information and to apply on-line visit www.pnm.com/careers before October 31, 2005.
PNM Resources is an Equal Opportunity / Affirmative Action employer. Women and minorities are encouraged to apply.
The Controller Group (10/14/05)
Director/Senior Manager Internal Audit
Because of our growth, The Controller Group (TCG) is seeking an outstanding Senior Manager/Director to join our Management team to deliver superior client services to our Dallas/Fort Worth area clients. We have been engaged by multiple clients to perform numerous Sarbanes-Oxley and Internal Audit projects and have a need for leadership talent with Financial Accounting and Auditing experience.
We are an innovative professional services firm delivering operational, financial and accounting solutions at a low cost without sacrificing quality. Our business is based upon delivering Big Four quality at affordable rates. We are dedicated to giving our clients the personal attention they deserve through the expertise of high-caliber, results-oriented professionals. We hire only select Associates who share our values and create an environment in which top professionals choose to work. The result is truly superior service for our clients and a challenging and rewarding environment for our Associates.
For more details on The Controller Group, LLP visit our website at www.controllergroup.com
REQUIREMENTS 10+ years of audit/accounting consulting experience
Big 4 or Regional Public firm experience preferred.
4+ years of industry experience
1+ years in a management role on a Sarbanes Oxley project.
Recent audit experience and/or recent experience and expertise in the evaluation and testing of internal accounting controls and business processes.
Strong communications skills and ability to interact with all levels of management.
Ability to be a team leader and motivate Associates in a fast-paced, time sensitive and client-driven environment.
Ability to create tools, tactics, and methodologies that will be utilized in the Internal Audit Practice
Prior hands on experience personally preparing, conducting, and reporting financial and operational audits.
Proven successful development and implementation of an internal audit
Demonstrated expertise in a variety of management concepts, practices, and procedures.
Ability to develop relationships with clients and be involved in business development.
Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or MBA required.
Interested candidates should e-mail their resume to: ndrucker@controllergroup.com
The Controller Group is an Equal Opportunity Employer
San Antonio is the eighth largest city in the United States and the second largest city in Texas, with a population of more than 1.2 million. The City of San Antonio employs more than 12,000 employees and has an annual consolidated budget for fiscal year 2005 of more than $1.5 billion.
The City of San Antonio Internal Audit Department is seeking general and information technology auditors to work locally in San Antonio. Candidates will be considered for positions from level II through V. The City of San Antonio offers competitive salaries and excellent employee and retirement benefits.
Assistant Auditor II has a salary range of $42,444 through $63,672.
Assistant Auditor III has a salary range of $51,924 through $77,892.
Assistant IT Auditor III has a salary range of $56,352 through $84,528.
Requirements:
Candidates should have prior internal auditing or information technology experience. Certifications such as CIA, CPA, CISA, CGAP or CFE may be required. Candidates must have a minimum of two years of recent internal audit experience. Advanced degrees and government auditing experience a plus.
Information technology auditor’s experience should include assessing information technology risks, control responses and audit techniques for ERP, internet/intranet, mainframe and/or client server systems.
To apply:
Qualified applicants should complete a City of San Antonio application on-line. City of San Antonio on-line application, detailed job descriptions and requirements are available at:
https://ww4.sanantonio.gov/jobs/jobvacs/openpositions.aspx
Applicants may also send a resume with salary history and references to the City Internal Auditor via E-mail at pmajor@sanantonio.gov, fax (210)223-0173 or mail to 111 Soledad, Suite 600, San Antonio, TX 78205.
Grant Thornton LLP is an Equal Opportunity Employer. Founded in 1924, Grant Thornton serves public and private midsize clients through 48 offices in the United States and in 585 offices in 110 countries. Grant Thornton LLP's web site is www.GrantThornton.com
Title: Internal Audit Associate
Our Business Risk Services (BRS) group, a specialty advisory practice within Assurance and Advisory Business Services, is a growing practice providing strategic solutions, operational performance improvement and assurance support to our clients. Grant Thornton seeks a team player with a strong work ethic and excellent professional skills for the role of Associate- Internal Audit Services.
This professional will perform internal audit procedures under the direction of the internal audit management team and in accordance with the client's audit plan, risk management strategy and Grant Thornton's internal audit methodologies.
Responsibilities:
Maintain a strong client focus by effectively serving client needs and developing productive working relationships with client personnel.
Stay abreast of current business and economic developments relevant
to the client's business.
Deliver high-quality client service by directing the daily progress of
fieldwork and informing Managers of engagement status.
Respect and protect confidential client information.
Display teamwork, integrity and leadership.
Support colleagues and value others' contributions.
Provide constructive on-the-job feedback and coaching.
Utilize technology and tools to continually learn and innovate, share knowledge with team members and enhance the delivery of services.
Bring potential business opportunities to the internal audit management team's attention.
Actively encourage team members to contribute ideas and identify potential business development opportunities to sell Grant Thornton's services.
Requirements:
- a Bachelor's degree in Accounting, Finance or a business-related field
- 1-4 years minimum of related audit, business or financial experience
- CPA, CIA or a desire to pursue applicable professional development and certification(s)
- strong analytical, interpersonal and communication skills
- demonstrated consistency in values, principles, and work ethic
Candidates must be available to travel 30-45% and work in excess of standard hours when necessary.
Title: Internal Audit Manager
Our Business Advisory Services (BAS) group, a specialty advisory practice within Assurance and Advisory Business Services, is a growing practice providing strategic solutions, operational performance improvement and assurance support to our clients. Grant Thornton seeks a team player with a strong work ethic and excellent professional skills for the role of Manager- Internal Audit Services. This professional will supervise and perform in accordance with the client's audit plan, risk management strategy and Grant Thornton's internal audit methodologies.
Responsibilities:
Maintain a strong client focus by effectively managing client needs and developing productive working relationships with client personnel. Stay abreast of current business and economic developments relevant to the client's business. Deliver high-quality client service by directing the daily progress of fieldwork and informing Managers of engagement status. Respect and protect confidential client information.
Display teamwork, integrity and leadership. Support colleagues and value others' contributions. Provide constructive on-the-job feedback and coaching.
Utilize technology and tools to continually learn and innovate, share knowledge with team members and enhance the delivery of services.
Develop potential business opportunities. Actively encourage team members to contribute ideas and identify potential business development opportunities to sell Grant Thornton's services.
Requirements:
- a Bachelor's degree in Accounting, Finance or a business related field
- 5-7 years minimum of related audit, business or financial experience
- CPA a plus, CIA required - strong analytical, interpersonal and communication skills
- demonstrated consistency in values, principles, and work ethic
Candidates must be available to travel 20-30% and work in excess of standard hours when necessary.
Interested Candidates for these two positions should submit a resume in confidence to TexasBASCareers@gt.com or fax 214-561-2370.
Litigation Support, Valuation & Forensics - Senior Accountant / Financial Analyst - Dallas
Position Summary
The Forensic Accounting and Investigative Services practice of Grant Thornton's Economic Advisory Services ( EAS ) offers expert advice to clients on critical financial and economic events and transactions facing their business. We offer a broad range of services in litigation support and business valuation and assist our clients with challenging financial and economic issues in complex litigation and other business dispute cases as well as services in investigations of allegations related to fraud and / or irregularities, bankruptcy, workouts, turnarounds, economic impact studies, computer fraud, and forensics.
The Senior EAS Associate is responsible for delivering a full range of services to clients and all phases of project and engagement management for multiple clients. Responsibilities include planning, directing, and completing projects and services in litigation support, business valuation, and forensics; developing and supervising staff; and assisting in client management and practice development activities.
Essential Duties And Responsibilities
- Adhere to the highest degree of professional standards and strict client confidentiality.
- Run client engagements from start to finish, which includes planning, executing, directing, and completing EAS projects and services and managing to budget.
- Supervise, train, and mentor associates and interns on audit process and assess performance of staff for engagement reviews; perform in-charge role as needed. Litigation Support:
- Conduct research and analyses and supply information to assist management in consulting on large and complex litigated disputes and providing valuable financial insight and clarity to counsel during all stages of a business dispute, from case theory development and discovery to expert witness testimony.
- Assist in preparing questions for discovery and deposition of potential witnesses, assist in reviewing and refuting the testimony and analysis of expert witnesses, design court exhibits, and participate in depositions and court as necessary. Assist management in developing long-term relationships with litigators by developing relationships with their staff. Valuation:
- Apply business valuation approaches and methods to a variety of tangible and non-tangible assets, including equity valuations, option analyses, and purchase allocations.
- Assemble, maintain, and finalize working papers that support valuations with minimal supervision. Other:
- Plan, organize, conduct, and supervise a variety of forensic accounting activities to investigate fraud or other irregularities.
- Perform data and document intensive financial analysis and modeling / projections, strategic analysis, economic and statistical analysis, due diligence, valuation analysis, damage calculations and analysis, forensic accounting procedures, GAAP / GAAS litigation support, industry research, and related investigative assignments.
- Supervise and perform research related to cases as well as document identification, acquisition, and management, and the preparation of demonstratives; write opinion letters and reports. Participate in conducting presentations and seminars.
- Assist in writing articles for various industries, firm, and other publications.
- Maintain a good working relationship with clients to enhance customer satisfaction and work with client management and staff at all levels to perform audit services.
- Proactively interact with key client management to gather information, resolve audit-related problems, and make recommendations for business and process improvements.
- Assist partners and senior management on proposals and business development calls.
- Gain comprehensive understanding of client operations, processes, and business objectives and utilize that knowledge on engagements.
- Participate in recruiting efforts as needed.
- Attend professional development and training sessions on a regular basis.
- Perform other job-related duties as necessary.
Qualifications And Requirements
- Bachelor's degree in Accounting, Finance, Economics, Business Administration, or related field. Two to four+ years of progressive experience in public accounting or consulting with experience in litigation support, business valuation, or forensics.
- Certification / license as CPA, CFE, CMA, CFA, or CIA and valuation credentials such as CVA, ABV, AVA, or ASA preferred.
- Accounting, finance, and economics knowledge; proficiency in US GAAP and GAAS preferred.
- Litigation Support / Consulting: Some experience in assisting management in consulting litigators on developing, evaluating, and settling case strategies and preparation of attorney work product to support case strategies; experience preparing expert reports, preferably in federal court for damage calculations, and documenting the results of investigations; and experience in damage calculations.
- Valuation: Some experience in broad-based business and financial valuations, multi-discipline appraisals, and fairness opinions, especially those of closely held companies, focusing on federal and state tax, financial report, and estate planning, as well as for tangible and intangible assets including purchase price allocations, intellectual property, ESOPs, and estate and gift and other non-litigation valuations; knowledge in FAS 141 / 142.
- Experience in fraud investigation and forensic accounting a plus.
- Analytical with experience in financial analysis and modeling, econometrics, statistics, and regression analysis.
- Ability to supervise staff and lead projects.
- Exceptional client service and communication skills with a demonstrated ability to develop and maintain outstanding client relationships.
- Ability to manage multiple engagements and competing priorities in a rapidly growing, fast-paced, interactive, results-based team environment.
- Strong leadership, recruiting, training, and mentoring skills, coupled with excellent verbal, written (including technical writing), and presentation skills.
- Excellent analytical, research, organizational, and project management skills.
- Strong computer skills including proficiency in Microsoft Office Suite and audit preparation software.
- Ability to work additional hours as needed and travel to various client sites.
EMAIL: texasauditcareers@gt.com
Grant Thornton is an equal opportunity employer.
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