eNews - March 2010

The President’s Letter

Our February meeting was a great success.  We celebrated Academic Relations Month by providing students an opportunity to participate in an afternoon speed interviewing session.  We really appreciate our members taking the time to complete the survey you received after the meeting.  Your comments provide us with opportunities to improve future meetings.

Our March meeting will be held on the 4th at the Cityplace Conference Center.  The March meeting will be a joint meeting with the Association of Certified Fraud Examiners (ACFE).  The pre meeting will cover Auditor Interviewing Skills, presented by Alyssa Martin from Weaver & Tidwell LLP.  The CAST meeting will discuss Investigative Interview Skills, and feature William Brown of Weaver & Tidwell LLP.  The lunch speaker is going to be James T. Jacks, the North Texas U.S. Attorney General.  The post meeting topic is Managing the Business Risk of Fraud, presented by Donna Epps.  Donna is a Partner at Deloitte Financial Advisory Services.   I look forward to seeing all of you at the meeting.

Registration is still open for the Fraud Summit, which will be held March 25th and 26th at UTD.  Seating is getting very limited for this conference and in the past it has sold out well in advance so please register as soon as possible.  Registration will close on March 1st.  The price is $250 per person per day.  You will receive 8 hours of CPE credit for each day attended.

Thank you for continuing to work with me to make the Dallas Chapter of the IIA a success in 2010.


Tom Keils
2009/10 President – Dallas Chapter IIA

Next Meeting - Thursday, March 4, 2010
Cityplace Conference Center

Joint Meeting with Dallas ACFE

Meeting 12:00pm - 1:30pm
Registration begins at 11:30pm

Photo Courtesy USA TodayJames T. Jacks, North Texas U.S. Attorney General

James T. Jacks is the North Texas U.S. Attorney General. Mr. Jacks has been with the North Texas U.S. Attorney General’s Office since 1982, and has extensive experience in many different areas, including Fraud and Public Corruption, Anti-Terrorism and Cyber Crime, and General Crimes. Prior to joining the North Texas U.S. Attorney General’s Office, Mr. Jacks was an Assistant District Attorney for both Galveston County and Dallas County. Mr. Jacks received his undergraduate degree from the University of Texas and his Juris Doctor degree from Texas Tech University School of Law.

1 Hour Continuing Education

CAST Meeting 10:30am - 11:30am
Registration begins at 10:00am

Investigative Interview Skills
William D. Brown, Partner, Weaver & Tidwell LLP

Objectives:  When fraud has occurred in an organization, gathering information through interviewing requires keen insight and an understanding of the types of evidence required in the investigative process.  This presentation will explore the problems encountered by auditors in developing testimonial evidence of intent when faced with fraudulent conduct. The presentation will explain why intent rarely can be established through analysis of documentary material alone.  The attendees will be provided with the techniques needed to effectively interview both hostile and friendly witnesses.  Instruction will also be given on the proper way to report on an interview and the evidentiary nature of the work product.  The presentation topics include:

  • Challenges in Developing Testimonial Evidence
  • Difficulties in Establishing Fraudulent Intent
  • Interviewing Techniques – Hostile and Friendly Witnesses
  • How to Report Interview Results

William Brown is a Partner in charge of Forensic Accounting Services at Weaver and is a Certified Public Accountant, licensed attorney, and Certified in Financial Forensics. His practice concentration is in the area of forensic accounting, including litigation services, investigations involving financial controversies, fraud investigations, and corporate compliance programs.  As a former special agent for the Federal Bureau of Investigation, Mr. Brown spent extensive time investigating complex white-collar crime matters.  He has lectured for FBI agents and at various state insurance departments on the subjects of forensic accounting and white-collar crime investigations and has also lectured nationally on the subject of healthcare fraud and abuse.  Mr. Brown received his undergraduate degree in Accounting from Arizona State University and his Juris Doctor degree with distinction from the University of Oklahoma.

1 Hour Continuing Education

Pre-Meeting 10:30am - 11:30am
Registration begins at 10:00am

Conducting a Fraud Risk Assessment
Alyssa Martin, Dallas Executive Partner, Weaver & Tidwell LLP

Objectives:  Despite aggressive prosecutions, fraud in the workplace is alive and well from the mailroom to the boardroom.  Don’t let your company become part of the worldwide fraud statistics.  This presentation will explore the Fraud Risk Assessment process by discussing the primary categories of fraud and the major contributing factors that may be resident in your organization.  A Fraud Risk Assessment is designed to identify the schemes and scenarios where fraud could occur. During this session we will:

  • Identify risks and exposure areas where fraud is likely to be committed.
  • Risk rate activities based on an organization’s risk tolerance.
  • Identify fraud prevention controls that should be in place to protect against defalcations.

At the end of the session, attendees will be able to perform a Fraud Risk Assessment to pinpoint those areas that need a proactive and preventive fraud monitoring plan.

Alyssa Martin is the service line partner leader of Weaver’s Risk Advisory Services practice.  She has 22 years experience in public accounting, including 15 years of internal control process risk management.  Her experience includes directing financial and operational consulting reviews, compliance and audit engagements, as well as tailoring methodologies to strengthen organization-wide corporate cultures.  Additionally, Ms. Martin has private sector experience as a Controller for a holding company which retained interest in multiple publicly-traded companies. She received her Bachelor of Science degree in Business Administration/Accounting from the University of Texas at Dallas and her Masters of Business Administration with specialization in Taxation from the University of Texas at Dallas.

Ms. Martin’s practice emphasis is in the areas of financial and operational analysis, risk management, internal audit, IT audit, business management consulting, and strategic planning.  She has worked with various multi-location manufacturing entities to define, review and implement operational strategies, evaluate and develop cash flow models, and review process output to help management monitor organization risk/objectives. Specific experience includes:

  • highly integrated process reviews, development and improvement projects
  • analysis of manufacturing product, system, and business components
  • creation of production schedules from inception to delivery, including lag time analysis
  • cash flow forecasting
  • procurement-to-pay process analysis

Ms. Martin is a member of the Audit Committee for Big Brothers Big Sisters, North Texas, Board Member, Big Brothers Big Sisters - Dallas County, Trustee of the Accounting Education Foundation of the Texas Society of CPA’s, member of the AICPA, Co-Chairperson of the Baker Tilley International Corporate Governance and Risk Management Committee, member of the Executive Advisory Committee of the Accounting and Information Management Area of the University of Texas at Dallas’ School of Management and is an active member of the IIA, ISACA and ACFE.  She has authored several articles in national publications on fraud prevention, risk assessment, internal audit planning, SOX compliance, and IT strategy.

1 Hour Continuing Education

Post-Meeting 1:30pm - 2:30pm

Managing the Business Risk of Fraud
Donna Epps, Partner, Deloitte Financial Advisory Services

Objectives:  Attendees will learn about ways to fight fraud in their organization. The IIA, ACFE, and AICPA recently issued a guide on managing the business risk of fraud which provides guidance that defines principles and theories for fraud risk management and describes how organizations of various sizes and types can establish their own fraud risk management program or enhance their existing program. Specific examples of key program components and resources will be discussed to give your organization a starting point to effectively and efficiently address the risk of fraud. An electronic copy of the guide will be provided to attendees.

Donna Epps is the national leader of Anti-Fraud Consulting for Deloitte Financial Advisory Services. With over 23 years of experience in public accounting and professional services, Donna Epps has provided a variety of services to clients within several industries, including telecommunications, technology, manufacturing, and oil and gas. Her varied client service has included 17 years of auditing public and private companies, including various regulatory filings with the Securities and Exchange Commission (SEC); leading examinations of regulatory compliance, at the state and federal level, for certain communications companies; working with client management of multinational public companies in complex, multi-year restatements of financial statements; serving as a partner lead for Sarbanes-Oxley preparation projects for various companies within the communications and media industries; and providing merger and acquisition related services.

Ms. Epps currently assists clients in corporate investigations, with a focus on SEC and accounting-related investigations. Using her background gained from auditing, compliance services, and corporate investigations, she helps companies implement, evaluate, and monitor antifraud programs and controls. She also provides litigation support services, particularly in the areas of purchase price, auditing and other accounting and securities related disputes.

Donna has a BBA from Texas A&M University and is a Certified Public Accountant in Texas and Iowa. She is active in the AICPA, Texas Society of Certified Public Accountants and serves on the board of the North Texas Business for Culture and Arts.

1 Hour Continuing Education

New Online Registration Requirements

A few months ago, the Dallas Chapter made a change to the CPE process.  After attending an IIA meeting, an online evaluation is distributed via email.  When you click the link to the online evaluation, you can immediately prepare and print your CE certificate for that specific meeting.  We had an overwhelming positive response to this process improvement, and want to keep making improvements such as this to streamline our processes.

New this year, beginning with the August meeting, the Dallas Chapter will require payment prior to confirming your registration.  Almost 90% of our attendees already pay through PayPal, so this is not a change for them.  If you need to pay by check, your check must be received prior to the meeting (see details below).  Our goal is to reduce the wait time at the check in tables, improve controls, and ease the reconciliation process on the back end.

As a friendly reminder and to provide clarification for our new members:

  • Registration cutoff is 5:00 pm CST on the Friday before the meeting (unless otherwise noted).
  • Payment must be received by the Friday before the meeting (unless otherwise noted).  Your registration is not confirmed until paid.  We strongly encourage you to pay via PayPal to confirm your registration.  If you are mailing a check, the envelope must be post marked 8 days prior to the meeting (i.e., on Wednesday the week prior to the Thursday meeting) to ensure we receive your payment on time.  If the envelope is not post marked within the required timeframe and is received late, you will be notified by email that a) the meeting is sold out or b) an additional $10 late fee per person will be assessed.  Only registrations paid by PayPal will be accepted on Thursday and Friday prior to the meeting.
  • If you miss the deadline to register and space is available, you can attend the meeting as a walk-in.  Before coming to the meeting, please check the website to see if we are accepting walk-ins since our meetings tend to sell out.
  • The deadline to cancel your registration is 5:00 pm CST on the Friday before the meeting (unless otherwise noted) to receive a refund.  If you do not cancel by the deadline, you may send a substitute in your place after notifying reservations@dallasiia.org.  The substitute will be required to pay an additional $10 if they are not a member of the Dallas Chapter.
  • All walk-ins will need to register at a separate table before the start of the meeting.  The walk-ins will be required to complete an on-site registration form which will include name, company name, address, and email address and can pay with cash or check made payable to the Dallas Chapter of The IIA for the applicable amount.

Registration: Place and confirm your reservation via the web site at http://www.dallasiia.org/Reserve_0310.htm.

The following are the current rates for our monthly meetings:

May 2015 Social Meeting Prices:

  • Dallas IIA Member $55
  • Other IIA Member or Non-member $65

NO WALK-INs will be allowed. Price includes up to 2 CPE and game ticket; there is no prorated price for attending just one of the meeting day sessions.

We will keep you posted as we continue to make improvements.  If you have any suggestions, please feel free to contact any of the officers of the Dallas Chapter.  Thanks for your cooperation!

Meeting Location:

Cityplace Conference Center,
2711 North Haskell Street, Dallas, Texas 75204

View Larger Map

Preferred Method:

Place and confirm your reservation via the web site at http://www.dallasiia.org/Reserve_0310.htm.

Pamela Krakosky

May 2015 Social Meeting Prices:

  • Dallas IIA Member $55
  • Other IIA Member or Non-member $65

NO WALK-INs will be allowed. Price includes up to 2 CPE and game ticket; there is no prorated price for attending just one of the meeting day sessions.

Reservations & Payment must be received by 5:00 PM on Friday, February 26, 2010.

Registration Cancellation Policy

Current Cancellation date: 5:00p Friday, May 8, 2015

  • You can cancel online until the current cancellation date and receive 100% refund. If you do not cancel by the deadline, you may send a substitute in your place after notifying reservations@dallasiia.org.
  • The substitute may be required to pay an additional fee which would depend on their membership status (Member, Student Member or Non-Member). To cancel your registration after the cancellation date, please send an email to CANCEL@dallasiia.org .

We Now Accept Credit Cards - Online Only

We accept most major Credit Cards

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 the Registration Chair at reservations@dallasiia.org.

After you place your reservation online, you will see the link to pay via PayPal if desired.

Chapter News

CIA Programs

Register Now!

The next CIA review course will be held on April 16-19, 2010 (this is rescheduled from February) and taught by Dr. Glen Sumners of LSU. Courses will be held at The University of Texas at Dallas. You can either register for all four parts, or just take one, two, or three parts. Course materials and lunches are provided. Registration details are at http://dallasiia.org/CIA_Review_S10.htm.

The fall CIA review course will be held September 24 – 27, 2010.

Next Ceremony to Honor New CIA’s, CCSA’s, CGAP’s, and CFSA’s

The next ceremony to honor those members completing their examination requirements in October, November, or December of 2009 will be held on March 4, 2010.  For example, those who passed the exam (including satisfying all requirements) between July and September, certificates should be mailed to the Chapter in October of that year. The certificates will then be presented at the next monthly meeting.  If you do not receive your certificate, contact the chapter’s certification department at certification@dallasiia.org

Check Out Our New Certifications Web Page

For information about the CIA exam and review courses, see our new website at http://dallasiia.org/CIA.htm

Frequently Asked Questions

Q:      I haven’t received my certificate yet – where is it?

A:       The IIA sends out certificates to a Dallas Chapter representative each quarter. Those taking and passing the exam, including satisfying all requirements, between July and September 2009 should be received in November 2009 and presented in December. Those passing between October and December 2009 should be received by the Chapter in January/February 2010. 

If you do not receive your certificate by September 2009, contact the IIA’s certification department:  certification@theiia.org, or call (407)937-1100.

Q:      How do I register for the exam?

A:       Exam registration can be completed via the following link: https://i7lp.integral7.com/durango/do/login?ownername=iia&channel=iia&basechannel=integral7

Spring Ahead

The UTD Student Chapter of the IIA has issued their Spring 2010 resume book.  A special note for all employers out there looking for new hires or interns – look no further than the UTD IAEP resume book!  The time is just right to start looking for a summer intern who can assist in performing audit work to catch up on your audit plan, or complete some of your SOX testing.   Contact us to host a reception at the student chapter meeting so the students can learn more about your audit group.

The big event at UTD during the month of March is the Fraud Summit, which has really developed into something much bigger with a day of workshops and another day for the conference. By the time this newsletter is distributed, most of the workshops and conference will be sold out.  The event has a lot to choose from along with every participant getting a fraud book to take home and read at their leisure.

The CIA review was held in February at UTD and was a success.  Members of the student chapter continue to assist with the event and Glenn Sumners continues to provide a top notch session.   If you didn’t make this one, the next session is planned for September 2010 at UTD.

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 and always welcome sponsors for our Wednesday receptions.  There are a number of students still available for full time and internship opportunities, and a website is available with student resumes at www.utdallas.edu/orgs/iia. Contact Mark Salamasick for password access to the resumes.

Membership Updates

IIA Membership Means More in 2010!

  • An opportunity to earn valuable CPEs through complimentary member-only webinars and Internal Auditor magazine quizzes, as well as access to webinar archives and presentations.
  • A new member print publication called IIA Today that will keep you informed about internal audit news and what’s happening at The IIA in guidance, research, and professional development.
  • Free access to new practice advisories and practice guides on topics such as corporate social responsibility, IT governance, and assessing risk management, as well as a new series of GTAG webinars.
  • Lower pricing on world-class conferences and seminars around the country.
  • Continued advocacy to elevate the profession among regulators, standard-setting bodies, the media and other key stakeholders who influence the future of internal auditing.
  • The January launch of a cleaner, simplified, and more content-rich IIA Web site home page, giving you the most timely and relevant information in an easy-to-navigate format.
  • Full implementation of the Audit Executive Center, serving the multi-faceted needs of chief audit executives.
  • A “member gift” program that provides deep discounts on IIA services and complimentary products on a quarterly basis.
  • Continuation of special member discounts from such companies as GEICO and Omni Hotels.
  • Live customer service chat capability on The IIA’s Web site to easily answer questions and resolve your issues.

New Ways to Network

Last year, the Dallas IIA launched a Facebook and LinkedIn group. Brought to you by the membership committee, these tools will allow you another avenue to grow your online network, communicate with other Dallas IIA members, and stay on top of current chapter events. LinkedIn is geared to professional networking; Facebook is used for both professional and social networking.


  • If you already have a profile at either one of these websites, you can join the Dallas IIA group by searching for it.
  • If you don’t have a profile but would like to set one up, visit www.linkedin.com and / or www.facebook.com and follow the instructions.
  • If you have questions contact membership@dallasiia.org

The Dallas IIA Chapter would like to extend a warm welcome to our new members who joined the Chapter last month:

January 2010 New Members

Nawvid Ahmed
Dylan Becker
Rebecca Brooks
Gloria Cano
Benjamin Christensen
Jeffrey Colbert
Michael Constantine
Mike Curry
Christina Dwyer
Nicole Fielder

Debra Frank
Bryan Fuller
Greg Gordon
James Helgason
Ryan Huling
Katherine Jenkins
Liz Jobson
Benito Juarez
Iris Kwong
Kimberly Law

Peter Mazeika
Roger Middleton
Clark Monson
Christy Ratcliff
James Sellner
Chris Speegle
Rebecca Tang
Boley Thomas
Christina Willis

New Membership Information Booth

Did you know that approximately 10% of event attendees are non-members?   We have recently added a membership information booth for future monthly meetings so non-members can stop by and receive information or ask questions related to IIA membership.  If you would like to know more about the many benefits of joining the Dallas Chapter, please stop by and speak with one of our membership committee members or pick up a brochure from the table.  The booth will be located in the registration area that is marked by a “membership information” sign.  We look forward to meeting you!


Please look for the monthly eNews (electronic newsletters) as a source of information for future events within the Dallas Chapter and other internal audit related news. If you have any questions regarding your membership or need additional information about the Dallas Chapter, please feel free to contact the Membership Chair (membership@dallasiia.org). If you are looking to become more involved in the Dallas Chapter and help give back to the internal audit profession, please contact Jay Blanchard at jayblanchard@ti.com.

As a member of The IIA, you already know the value you receive, and now we’re giving you an incentive to tell your friends and colleagues about it! With the new, year-round Recruit-a-Colleague membership program from The IIA, the more friends and colleagues you recruit to become members, the more chances you have to win free training and professional development! For complete program details, visit www.theiia.org/Recruit.

Dues Change

Effective March 1, 2010, annual dues for all North American members will increase by $50, from $145 to $195 to allow the IIA to continue enhancing quality membership services. All other membership categories will see similar increases. For more details about the change along with planned service enhancements, please reference the IIA website (http://www.theiia.org/membership/membership-dues-letter/).

IIA Research Foundation

The Research Foundation has recently issued a book entitled Implementing the International Professional Practices Framework, 3rd Edition.  The original edition of this book was written to provide internal auditors with guidance on how to put into place the set of International Standards for the Professional Practice of Internal Auditing (Standards), which first became effective January 1, 2002.  The underlying structure of the Standards has held up well.  Yet, the professional practice of internal auditing has continued to evolve.  In 2006, the Board of Directors of The Institute of Internal Auditors (IIA) established an international steering committee to review the existing professional practices framework.  The results culminated in a new framework for internal audit guidance, the International Professional Practices Framework (IPPF), which was released in 2009.

The information in this book is designed to serve as a practical guide for applying the IPPF.  The “crash course” in this book outlines the specific actions auditors must take to conform with the Standards and the other elements of the IPPF.  In doing so, it reviews basic information on the essential elements required for providing effective internal audit services, discusses in depth those elements representing significant change, and provides specific practical tools and techniques for delivering high quality internal audit services.

The book can be ordered online at http://www.theiia.org/bookstore/product/implementing-the-international-professional-practices-framework-3rd-edition-1423.cfm.   (Item number 1020.3, IIA member price - $55, non member price - $65)

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 January 1, 2010. 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 February 28, 2010.


2010 Seminars
Updated 2/1/10

Dallas Chapter Seminars

The Dallas Chapter of The IIA is pleased to announce SMART Training Courses for the upcoming year and beyond.  Our goal is to provide high quality training at a low cost for our members (starting at $150 for 1 day courses).

We have been busy these past couple of months planning and organizing to bring you the following hot topics and outstanding speakers.  We are still working hard to finalize the schedule but we wanted to get this to you as soon as possible so that you could plan your training.

SMART Training Courses
(Seminars on Mastering Audit Real-world Techniques)
Risk Based Auditing: A Value Add Proposition Glyn Smith,
CooperGroup, Principal
TBD (2 days) Brinker
Advanced Operational Auditing Glyn Smith,
CooperGroup, Principal
TBD (2 days) 7-Eleven
SQL Server Security Briefings and Training Tanya Baccam,
Baccam Consulting
TBD (2 days) Sabre
We are able to bring these seminars to you for a low cost because IIA-member companies are providing their offices for the training sites.  If your company is interested in hosting a course and receive free registrations, please contact Pamela Krakosky at pkrakosky@verizon.net to find out more details.  And if you would like to recommend a course topic and/or instructor, please contact Pamela.

The 5th Annual-UTD/Dallas Chapter
Fraud Summit

Professional Organization Sponsors:

Sign up soon! Sessions will close once the conference and workshops reach capacity.

The Fraud Summit has turned into a two day event, as requested by previous attendees. We have three outstanding seminars being offered with approximately 50 seats available for each. Jim Ratley, President of ACFE International, agreed to conduct an all day interviewing seminar. Glyn Smith, who spoke at the Conference a couple of years ago, has agreed to do an all day seminar on Ethics and Compliance. We will also have an Advanced Auditing seminar provided by Deloitte. These seminars will occur simultaneously, so choose the option that is best for you.

The Fraud Conference itself has also expanded to provide even more value than in previous years. We will have some exciting keynote speakers, including Aaron Beam, past CFO of HealthSouth, who just completed a book entitled “HEALTHSOUTH: The Wagon to Disaster”. Each attendee will receive a copy of the book, and Mr. Beam has agreed to autograph copies. In addition, fifteen breakout sessions will be offered throughout the course of the day. Those sessions will be full of real life examples along with the latest techniques in Fraud detection.
Register for the Fraud Workshop and the Fraud Conference on the Dallas IIA website. If you have any questions, contact Adrienne Adame at adrienne.adame@gmail.com.

Thursday, March 25, 2010

  • John McSwain, Senior Manager, Deloitte Financial Advisory Services LLP —Advanced Fraud Interrogation Methods

    Effective interrogations may require the investigator to do more than just ask the right questions. This interactive course combines elements of document discovery, business intelligence gathering, data analytics and interviewing techniques in order to provide a framework for conducting meaningful target interrogations. This course will provide:

    • Approaches for collecting hard copy documents and electronic records
    • Steps for obtaining critical background information on individuals and entities
    • Methods for analyzing large amounts of data in order to identify patterns and anomalies that may lead to the discovery of evidence of malfeasance, including fraud
    • Investigative interview techniques:
         o Preparation for an interview
              - Developing questions
              - Avoiding interview pitfalls
              - Selecting location
         o Deception detection
    • Highlight distinctions between Interviews and Interrogations

    John McSwain is a CPA licensed in Texas with over 23 years investigative experience specializing in corporate fraud and FCPA (Foreign Corrupt Practice Act) investigations. Prior to joining Deloitte Financial Advisory Services LLP (“Deloitte FAS”), Mr. McSwain spent more than 21 years as a Special Agent and Supervisory Special Agent with the Federal Bureau of Investigation (FBI). During his career with the FBI, he conducted numerous complex white collar investigations specializing in the areas of Public Corruption, Healthcare Fraud, and Financial Institution Fraud. Since joining Deloitte FAS in July 2007, Mr. McSwain has provided broad financial and investigatory services to both law firms and Fortune 500 businesses.

    Mr. McSwain has over 14 years experience investigating white collar criminal matters, including several related to high profile public officials, public municipalities and corporate executives involved in bribery, kickbacks and money laundering.

    Throughout his career, Mr. McSwain has conducted hundreds of interviews as part of criminal investigations and provided expert and summary witness testimony at numerous federal criminal trials and before Federal Grand Juries. He has provided litigation support to Assistant United States Attorneys in several judicial districts throughout the United States and has extensive experience in helping prosecutors develop trial strategy, as well as debrief and prepare government witnesses.

    Mr. McSwain is a member of the American Institute of Certified Public Accountants, the Texas Society of CPA’s and the Society of Former FBI Special Agents.

  • Jim Ratley — Interview Techniques for Auditors and Investigators

    Are people lying to you? Do you know for sure? When can actions speak louder than words? Fraudsters, clients and even your own employees may each be hiding something from you. This interactive course will teach you how to be more effective in asking direct and follow-up questions, while evaluating both verbal and non-verbal responses, so you can be a better listener and observer during subject interviews.

    James D. Ratley graduated from the University of Texas at Dallas, with a Bachelor’s Degree in Business Administration. In 1971, he joined the Dallas Police Department as a police officer.

    Mr. Ratley was assigned to several police department divisions including vice, child abuse, and internal affairs. He was a member of numerous department task forces which concentrated on major fraud cases.

    In 1986, Mr. Ratley left the police department to join Wells & Associates, a forensic accounting practice, where he was in charge of fraud investigations. He handled investigations regarding internal frauds, conflicts of interest, and litigation support. In 1988, he was named Program Director for the Association of Certified Fraud Examiners and oversaw all aspects of the ACFE’s training and education programs.

    In 2006, Mr. Ratley was named President of the ACFE. In this role, he works to promote the ACFE to the public and other professional organizations and continues to assist in the development of anti-fraud products and services to meet the needs of ACFE’s members. In addition, he is a member of the ACFE’s faculty, and teaches regularly at workshops and conferences on a variety of fraud-related subjects.

    In 2005, Mr. Ratley was awarded the Association of Certified Fraud Examiners’ Cressey Award. The Cressey Award is the ACFE’s highest honor. It is bestowed annually for a lifetime of achievement in the detection and deterrence of fraud.

    Mr. Ratley is a member of the Association of Certified Fraud Examiners, Austin Chapter and a member of the Board of Advisors for the Institute for Bank Director Education. He was also a Visiting Scholar at the University of Nebraska in Lincoln. In addition, he has been certified as a Master Peace Officer by the Texas Commission on Law Enforcement Standards and Education.

  • Glyn Smith — Best Practices in Ethics and Compliance and How to Audit

    This course is designed to dive into the key elements of a best practice governance program and provide fresh ideas on how internal audit can take an active role in helping an organization promote an ethical culture and build a strong ethical foundation that will lead to sustainable success. The course will cover:

    • Elements of corporate governance
    • Governance lessons learned from the recent financial crises and scandals
    • What auditors can do to help promote and strengthen an organization’s governance program
    • Governance challenges and the latest thoughts on best practices in governance

    Glyn Smith has nineteen years of diversified experience working in public accounting and with public and private sector entities including large-cap and fast growth public companies as well as government entities. Until 2005, Mr. Smith served as Director of Internal Audit for MCI where he played a role in helping the company successfully move forward and emerge from bankruptcy after the WorldCom fraud.

    Because Mr. Smith played a key role in helping to uncover the fraud at WorldCom, he has unique insights that can help organizations lay strong ethical foundations and better prevent scandal in this new era of responsibility. Mr. Smith has been featured in media such as CNBC’s American Greed, the Wall Street Journal and CFO.com. He helps thousands of corporate executives and professionals across the globe by consulting on, training and speaking to the most timely topics and concerns of the 21st century, including enterprise risk, the current crises and recent scandals - lessons learned and the way forward; questions every board member should ask; what companies can do to prevent and detect fraud; and ethical leadership. In addition, Mr. Smith speaks to high school and college students to share lessons learned from the recent frauds and the importance of building a strong ethical foundation.

    Mr. Smith previously served on the Accounting Advisory Board for the University of Alabama and is the past president of the Central Mississippi Chapter of Internal Auditors. He holds a number of professional designations including Certified Public Accountant, Certified Internal Auditor and Control Self-Assessment.

$250 per person – seating is limited to the first 50 registrants for each session.  You may only choose one of the three sessions to attend.

8 hours CPE credit
Location: UTD-Richardson
Time: 8:00PM-5:00PM

Register online by March 1, 2010

Friday, March 26, 2010

  • One of our keynote speakers will be Aaron Beam, Past CFO of Healthsouth, who will speak on his personal experiences and subsequent conviction related to HealthSouth – All attendees will receive a copy of his book which Aaron will be available to sign.
  • Participants will choose from a variety of breakout sessions to hone their fraud-detecting skills and practically apply what they have learned.
  • Advanced fraud techniques and case studies for those looking for more than just the basics.

$250 per person if paid before March 1st.

Seating is limited
8 hours CPE credit
Location: UTD-Richardson
Time: 8:00AM-5:00PM
Discounted Accommodations are available at the Renaissance of Richardson located near campus ($85 nightly rate) – The group rate code is “utdutda” and the phone # is 972-367-3333

Register online by March 1, 2010

Please support our Corporate Sponsors:

Proceeds benefit the IAAAF and Internal Audit Program at UTD.

Register Early as space is limited!

Employment Opportunities

City of Garland  (2/6/10)

Job Description

Title IT Audit Analyst
Reports to City Auditor
Department Internal Audit
Date October 16, 2009

Responsible for auditing the governance, risks and controls for the City’s information systems.

Essential Duties and Responsibilities include the following. Other duties may be assigned.

  1. Audits Information System Controls for the City’s numerous networks, operating systems, databases and applications.
  2. Evaluate and test Information System controls.
  3. Evaluate Information System operating procedures.
  4. Assist departments in usage of Computer Assisted Auditing Techniques (CAAT’s).
  5. Routinely advise departments on proper internal control processes.
  6. Document business and system processes/ data flows.

Minimum Qualifications

  • Four-year college degree
  • 4 years experience

Or an equivalent combination of education and experience sufficient to successfully perform the essential functions of the job.

Preferred Qualifications

Education/ Experience:

  • Bachelor’s Degree with coursework in Information Systems or Information Systems Auditing
  • 4-6 years experience in Information Systems Auditing, Auditing and/or Application Controls
  • CISA certification

Knowledge, Skills & Abilities:

  • Extensive knowledge of COBIT
  • Comprehensive knowledge of IIA’s General Technology Audit Guide
  • Comprehensive knowledge of CAAT’s
  • Skill in operating Microsoft office (Excel, Visio, Word, Access)
  • Skill in problem solving
  • Skill in utilizing Crystal Report Writing Software
  • Ability to communicate complex technology issues in a clear and concise manner
  • Ability to prioritize and work within determined time budgets
  • Ability work both independently and in a team environment

Licenses and Certifications

  • CISA certification preferred
  • Valid Class C Texas driver's license

Job Competencies

Adaptability/Flexibility Adapts to change, is open to new ideas, takes on new responsibilities, handles pressure, adjusts plans to meet changing needs.
Creativity/Innovation Generates new ideas, challenges the status quo, takes risks, supports change, encourages innovation, solves problems creatively.
Customer Focus Builds customer confidence, is committed to increasing customer satisfaction, sets achievable customer expectations, assumes responsibility for solving customer problems, ensures commitments to customers are met, solicits opinions and ideas from customers, responds to internal customers.
Interpersonal Skills Has good listening skills, builds strong relationships, is flexible/open-minded, negotiates effectively, solicits performance feedback and handles constructive criticism.
Organizational Savvy Operates within the organization's formal and informal structures, builds allies and relationships across departments, uses allies to build consensus and create results, is appropriately diplomatic, understands others' roles and perspectives, can sell projects and ideas across the organization.
Problem Solving/Analysis Breaks down problems into smaller components, understands underlying issues, can simplify and process complex issues, understands the difference between critical details and unimportant facts.
Project Management Establishes project goals, milestones, and procedures, defines roles and responsibilities, acquires project resources, coordinates projects throughout company, monitors project progress, manages multiple projects.
Teamwork Meets all team deadlines and responsibilities, listens to others and values opinions, helps team leader to meet goals, welcomes newcomers and promotes a team atmosphere.

Physical Requirements / Work Environment

The work environment and physical demands described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The incumbent works in a typical office environment; occasional exposure to unpleasant environmental conditions or hazards. Occasional outside work required.

Please answer the attached questions when applying.

OmniAmerican Bank  (2/5/10)

Position: VP - Director of Internal Audit
Location: Fort Worth Texas, 76107
Job Type: Full-Time
Job Contact: Kim Vincent
Email Address: kim.vincent@omniamerican.com
Company Site: www.omniamerican.com

Job Description
Maintains overall responsibility for the internal audit function, including audits conducted in-house as well as those completed by the outsourced internal audit firm. Directs and conducts audits to assess effectiveness of internal controls; verify compliance with Bank policies and procedures; verify compliance with applicable laws, rules, and regulations; verify accuracy of accounting practices, reporting systems, and financial records, recommending corrective measures consistent with Bank goals and objectives; and verify I/T General Computer Controls. This position shall have no responsibility for operating the bank’s system of internal control.

Requires ten (10) years audit experience, of which five (5) years must include IT audit or technology risk advisory OR ten (10) years experience with a financial institution with experience with IT audit or technology risk advisory. Experience auditing Microsoft applications, UNIX operating system and Oracle database, evaluating effectiveness of network security controls, including firewalls and other IT perimeter controls is desired.

Four-year degree from an accredited college or university majoring in Accounting or Finance, MIS, computer science or a related study. CIA and CISA designations required. CFSA, CPA, CISSP, and CISM designations a plus.

Position: AVP Internal Audit
Location: Fort Worth Texas, 76107
Job Type: Full-Time
Job Contact: Kim Vincent
Email Address: kim.vincent@omniamerican.com
Company Site: www.omniamerican.com

Job Description
This position will provide guidance and direction to outsourced audit firms regarding risk assessments, audit plans, audit scope, audit programs and audit reports. Coordinates and assists external auditors, assigned staff and regulatory examiners during periodic audits and examinations. Assist in the preparation of the annual audit plan which includes operational, financial and compliance audits and reports as well as reports on the status of the audit plan to the Audit Committee. Performs and directs staff as appropriate in financial, operational, and compliance audits as well as FDICIA test work. Assists in information technology audits and perform monitoring and testing of various areas of the Bank to supplement the scope of the internal audit plan, reporting findings and follow up status to the Audit Committee. Reviews policies and procedures of various areas for proper internal controls; maintains audit workpapers according to the Bank’s records retention schedule and assists in the review and revisions of Audit Services policies and procedures.

Requires five (5) years experience in a bank or financial institution and a minimum of three (3) years audit experience with demonstrated leadership qualities. CIA is required, CISA is preferred. Must have a working knowledge of Microsoft Word and Excel, and project management experience.

Four-year degree from an accredited college or university majoring in Accounting or Finance, MIS, computer science or a related study. CIA and/or CISA designations required. CFSA, and CPA designations a plus.

JPMorgan Chase & Co.  (1/18/10)

Title – Auditor, Home Lending
Location – 3929 W John Carpenter FWY, Irving, TX

Job Description

Department Description
The JPMorgan Chase Audit Department is accountable to the Audit and Examining Committee of the Board of Directors, the Office of the Chairman, senior management and our global and local regulators. The global Audit Department has in excess of 500 Audit Officers.

Position Description:
This position is responsible for the risk assessment, control identification, development of audit testing plans and the execution of the of the audit plan covering the Home Lending Default Operations. This position will also have the opportunity to work on other audits related to the Home Lending, Consumer Lending and Banking businesses.


  • Executing audit work, including planning, fieldwork, ongoing interface with business stakeholders and within the audit group, report issuance and administrative tasks to complete the paperwork.
  • Performing ongoing analysis of operational risk trends through the development and execution of audits.
  • Performing detailed control analysis and test work of departmental processes.
  • Assessing and escalating issues identified during audit assignments or special projects in a constructive manner.
  • Developing recommendations to strengthen internal controls and improve operational efficiency.
  • Providing leadership and coordination for multiple audit assignments or special projects with multiple team members.
  • Providing constructive, direct, accurate and timely feedback in staff evaluations.
  • Ensuring that projects are completed timely and within budget.
  • Initiating and developing effective client relationships with mid-level line management.
  • Participating on project teams to assist clients in developing internal control systems or monitoring significant changes to control systems.
  • Positively and creatively influencing needed department change and championing critical department initiatives.
  • Assisting in the development and training of other team members.
  • Occasional overtime and approximately 30-40% of travel is required.


  • Candidates should have 2-5 years of experience in risk management, internal or external audit, preferably in the Home Lending business and/or Default Operations.
  • Bachelor's degree in Accounting, Finance, Economics, Business Administration, or a related field is required. An MBA degree and/or professional certification, such as a CPA or CISA, are a plus.
  • Ability to identify the risks and controls within operational areas, execute audit test-work and opine on the effectiveness of management's risk mitigation.
  • Effective skills in time management, problem solving, conflict management, written and oral communication, interpersonal skills and the ability to work both independently and as a team member are critical to success.

JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V

JPMorgan Chase & Co. · 1 Chase Manhattan Plaza, Floor 27, New York, NY 10005
Telephone: (212) 552-7723
http://www.jpmorganchase.com  · roopa.x.malik@jpmchase.com

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