eNews - March 2012
The President’s Letter
Greetings Dallas Chapter of the IIA, we are off to a
great year in 2012, and I hope that all of you and your
companies are as well. We are looking forward to an
action-packed period in February and March and I wanted to
highlight some of those events.
First, we have our SMART Seminar on “Auditing Contracts –
Auditing that Pays!”, which will be held at UTD School of
Management on February 16th and 17th. We have a
renowned presenter for this seminar, Courtenay Thompson, a
recognized authority on providing practical, proven
approaches to real problems.
For our March monthly meeting, we will return to
CityPlace for our Ethics/Professional Development month.
Our morning meetings will feature Danny M. Goldberg from
Sunera, who will present “Practical Ethics” at the
Pre-Meeting. Terry Hartzog and Rene Hernandez from
Protiviti will cover “ERP Auditing Concepts for Financial
Auditors” during the CAST session.
Our CAE Spotlight will feature Al Bazis, CAE at DART and
long-time Dallas IIA Board of Governors member, who will
briefly discuss a background of his team, the transportation
industry and best practices at his company.
Our featured luncheon speaker will be Dr. Ray Clay,
Emeritus Professor of Accounting at the University of North
Texas. Dr. Clay has also been a long-time Board of
Governors member for the Dallas Chapter of the IIA and will
present “Ethical Considerations for Business Professionals.”
This session will focus on the basic principles of ethics
that we all know quite well but oftentimes fail to apply in
our personal lives and professional careers.
Our Post-Meeting will feature “Interculturalist” Nancy
Ackley Ruth, who will present “TO DIVERSITY and BEYOND:
Building Bridges through Cultural Competence”. We
expect this to be a lively session on an important soft
skill topic.
Finally, I would like to call your attention to our 7th
Annual Fraud Summit, which will be held March 29th and 30th
at the UTD School of Management. March 29th will
feature 2 workshops to choose from: 1) The Art of
Profiling by our featured keynote speaker Dan Korem and 2)
Fraud from 2 Perspectives: Perpetrator and
Investigator by Frederick Bennett from Grant Thornton.
We hit capacity each year on this Summit and we expect this
year to be our biggest and best ever. The online
registration deadline is March 1st.
In closing, I would like to thank you for your continued
support of the Dallas Chapter and look forward to seeing you
at our many exciting events for the remainder of the chapter
year.
Sincerely,
Brian Amend
2011/12 President – Dallas IIA
president@dallasiia.org
|
Thursday, March 1, 2012
Ethics/Professional Development Month
Meeting 12:30pm - 1:30pm
Lunch to start being served at 11:45
Registration begins at 11:30pm
Ethical Considerations for Business Professionals
Dr. Raymond J. Clay, Jr., CPA
Objectives: An interesting and entertaining
presentation on a subject rarely considered in the context presented
here. This is not a dialogue on behavioral dos and don’ts.
Rather, the presentation examines the basic principles of ethics
that we all know quite well but oftentimes fail to apply in our
personal lives and professional careers. As the pressures
related to career paths and personal accomplishments mount, we tend
to abandon the traits that are basic to success. This
presentation is designed to help participants re-identify those
traits and allow them the opportunity to reexamine their priorities
as they relate to their behavior.
- To analyze the significance of behavior in our personal and
professional lives.
- To identify and discuss ways in which business professionals can
achieve and maintain high standards of ethical conduct.
- To examine the concepts of ethics and ethical reasoning and
demonstrate the impact these concepts have on business professionals
and the work they perform.
No prerequisites required
Dr. Clay is Emeritus Professor of Accounting at the University of
North Texas. Prior to joining the faculty at North Texas, he spent
three years as Director of Professional Development for Union Pacific
Corporation. Dr. Clay received his Bachelors and Masters degrees from
Northern Illinois University and his Doctorate degree from the
University of Kentucky. He has held faculty positions with Indiana
State University and Texas Tech University and spent time on the audit
staff of Price Waterhouse & Co. in their Chicago office.
Dr. Clay has held significant committee appointments with the
American Accounting Association, American Institute of Certified Public
Accountants, and the Institute of Internal Auditors. He is the
author of five books, twelve continuing professional education courses,
and numerous articles appearing in professional journals. Dr. Clay
serves as a consultant for several firms and has twice been named the
Outstanding Continuing Education Discussion Leader by the AICPA and
three times by the Texas Society of CPAs. He also received the
1999 Leon Radde Educator of the Year Award from the Institute of
Internal Auditors, and was named Outstanding Accounting Educator by the
Texas Society of CPAs in October 2000.
1 Hour Continuing Professional Education
CAE Spotlight 12:20pm - 12:30pm
Registration begins at 11:30pmTransportation Al Bazis, CPA – Director of Internal Audit, DART
Objective: The objective of this brief presentation is to
provide Insight into the best practices, organizational structure and
types of audits performed by an Internal Audit department within the
transportation industry.
No prerequisites required.
Al Bazis is a CPA and began his career at Arthur Andersen & Co
where he was an Audit Manager. He joined Associates First Capital
Corp. (acquired by Citi), an $80 billion financial services company,
where he was Senior Vice President of Corporate Audit. Associates
utilized many best practices in the internal audit department and
was an early implementer of control self assessment (CSA) which was
used successfully in all phases of audit work. He is currently with
Dallas Area Rapid Transit (DART) where he is Director of Internal
Audit. DART has adopted a COSO based approach to audits which
utilizes a risk /control matrix. Al has served on IIA international
committees, has served the Dallas Chapter of the IIA as president
and is on the chapter’s Board of Governors. He has served as the
Chairman of the University Of North Texas Internal Audit Advisory
Board and is on the University of Texas at Dallas Internal Audit
Advisory Board.
No Continuing Professional Education credit
CAST Meeting 10:30am - 11:30am
Registration begins at 10:00am
ERP Auditing Concepts for Financial Auditors
Terry Hartzog, Director, Protiviti
Rene Hernandez, Associate Director, Protiviti
Objectives: Financial Internal Auditors tend to rely
on ERP/IT Audit specialist to audit controls in ERP environments
because they may not fully understand the technology or automation
of processes. This tends to lead to ERP audits with an IT risk
focus vs. a business process risk focus. This training will
provide Financial Internal Auditors with ERP auditing concepts that
will allow them to work with IT Auditors to design ERP audit
programs with a focus on business process risks.
- Understand the type of business process risks that can be
mitigated by ERP control automation
- Learn key concepts about a four-pronged approach to auditing
business process risk in an ERP environment that includes assessing:
- Preventive Security/SOD Controls
- Preventive Process Configurable Controls
- IT General Controls
- Detective Data/Transaction Analysis
No prerequisites required
Terry Hartzog is founding member and current
Director with Protiviti, Inc., a global consulting firm that helps
companies solve problems in finance, technology, operations, governance,
risk and internal audit. Terry has provided internal audit and
consulting services for over 12 years across a variety of industries and
sizes of organizations. Terry's experience encompasses traditional
financial and operational internal audit and SOX as well as significant
experience in building and enhancing controls and security during the
design and implementation phases of major ERP projects including SAP and
Oracle. Terry's internal audit experience ranges from providing specific
singular audits to serving as the acting Director of Internal Audit for
a mid-size company leading the integration of the audit and SOX
functions.
Terry is a graduate of Texas A&M University with a degree in
Accounting and Information/Operations Management. Terry is a CPA, CIA
and current Board of Governor/former President of the Fort Worth IIA
chapter. Outside of work, Terry enjoys spending time with his wife and 4
children and promoting all things Aggie.
Rene Hernandez is an Associate Director with Protiviti. He has
over 12 years of combined experience related to financial accounting,
ERP application control effectiveness, IT auditing/consulting, and
Sarbanes-Oxley compliance. Rene has led multiple ERP optimization
projects, focusing on financial controls and operational efficiency for
mid-size to large multinational corporations. He is currently
licensed as a CPA, CISA, CITP, CFSA, and CRISC professional.
1 Hour Continuing Professional Education
Pre-Meeting 10:30am - 11:30am Registration begins at 10:00am
Practical Ethics
Danny M. Goldberg, Partner, Professional Development, Sunera
Objectives: CPA’s and internal auditors face with
complex decisions on a daily basis without realizing many of them
are actually ethical dilemmas. Although values and ethical
issues pervade all social studies, this one-hour overview provides
attendees with an opportunity to understand these issues in greater
depth. This course will provide attendees with a basic understanding
of their ethical obligations of auditors, as well as a framework for
analyzing and managing complex ethical dilemmas that may arise in
practice.
Learning Objectives:
- Understand the basic
definition of ethics, how to apply it and the difference between ethics and morals
- Learn more about the ethical dilemmas we face in the workplace and how to handle them
- Learn about four methods to resolve ethical dilemmas
No prerequisites required
Danny M. Goldberg leads the Professional Development Practice at
Sunera. Prior to joining Sunera in January 2011, Danny founded
SOFT GRC, an advisory services and professional development firm.
Danny has over 15 years of audit experience, including five as a
CAE/Audit Director at two diverse companies.
Prior to founding SOFT GRC, Danny was the Director of SOX Compliance
and Corporate Audit at Dr Pepper Snapple Group, where he led the Year
One SOX Compliance efforts. Prior to his tenure at Dr Pepper,
Danny was the Chief Audit Executive and started the internal audit
department at Tyler Technologies, a publicly traded technology company.
Danny has served on the board of directors of a non-profit
organization and the audit committee of the Dallas Independent School
District. Danny currently serves as the Chairman of the North
Texas Leadership Council of the American Lung Association and is the IIA
Dallas Company Programs Committee Co-Chairman for the 2011-2012 year.
Danny is accredited as the professional commentator on the publication
BNA Tax and Accounting Portfolio, Internal Auditing: Fundamental
Principles (Accounting Policy and Practice Series), which is authored by
renowned audit scholars Curtis C. Verschoor and Mort A. Dittenhofer –
co-author of Sawyer’s Internal Auditing.
He has also published numerous articles in trade magazines over the
past two years, including:
- ISACA Journal
(General Auditing for the IT Auditor: An Overview, May 2011)
- The Audit Report (11
Hot Topics for 2011, March 2011)
- Dallas Business
Journal (The Yes Man Phenomenon, January 2011)
Danny is a well-known speaker across the nation at numerous IIA and
ISACA sponsored events. Mr. Goldberg has been recognized as a top
speaker at numerous events over the past 6 months, including:
- “Top Rated”
(Excellent/Outstanding) Speaker – 20th Annual American Society for
Quality (ASQ) Audit Division Conference (out of 44 presenters)
- Top 10 Presentation –
2011 IIA Midwest Regional (36 total concurrent sessions, 3.75 overall
rating out of 4.0)
- Top 3 Ranked Speaker –
Michigan CPA’s Healthcare Conference 2011 (29 total speakers)
- Top 3 Ranked Speaker –
ArkSarBen IIA 2011 District Conference (24 total sessions)
- 3.58/4.00 Rating –
2011 ACFE Annual North American Conference
Danny is one of less than 100 speakers worldwide invited to present at
the 2012 IIA International Conference. Danny has also been invited
to the 2012 Chicago IIA Annual Conference.
Danny is a Certified Public Accountant, Certified Internal Auditor,
Certified Information Systems Auditor, Certified in the Governance of
Enterprise Information Technology, Certified in Risk and Information
Systems Control, Certified in Risk Management Assurance and has obtained
his Certification in Control Self-Assessment.
1 Hour Continuing Professional Education
Post-Meeting 1:30pm - 2:30pm
TO DIVERSITY and BEYOND:
Building Bridges through Cultural Competence
Nancy Ackley Ruth, Senior Interculturalist
Objectives:
- To build a basic
understanding of cultural value differences and their impact on your
organization.
- To build your own
cultural “gap analysis” between your natural style and that of prominent
diverse groups in your workforce.
Presentation Outline
- Introduction
- Generalizations
- Types of culture
- Your cultural puzzle
- Understanding Culture
- High and Low Context
- Communication styles
- Some key cultural values
- Task vs. Relationship
- Equality vs. Hierarchy
- Individualism vs. Collectivism
- Risk vs. Caution
- Harmony vs. Honesty
- Looking at some prominent cultures in
the US workplace
- Your gaps – Your personal take-away,
how to minimize gaps in your cultural style to maximize your
effectiveness
No prerequisites required
Nancy Ackley Ruth was born and raised in Africa as a child of
American parents. She grew up speaking Arabic and several tribal
languages as well as English, having a foot in at least 3 worlds.
This provided the foundation for Nancy’s current passion – building
bridges of understanding through developing cultural competence.
Nancy earned an interdisciplinary Master’s degree in counseling and
Human Resource Development. She put this degree to good use,
serving such organizations as Lear Siegler, Mervyn’s, MJDesigns, and
Boeing as well as several smaller companies in varying HR roles, from
generalist to SVP. In each successive position, Nancy became
increasingly aware of the impact of culture on the work force.
One manager even said “don’t hire any more of XYZ ethnic group – they
are liars and untrustworthy.” When asked why he believed that, he
responded that they would not look him in the eye (don’t traditional
American mothers say to their children “you look me in the eye young
lady when I’m speaking to you?”) and they often said “yes” when the
accurate answer was “no.” Because of her cultural awareness, she
understood the manager was seeing the behavior through an American
cultural lens and subsequently developed and facilitated a cultural
awareness training for the managers, with observable positive results.
Nancy has worked one-on-one with expats of all levels to build these
bridges. She has also worked with companies with significant
interest in the USA, Africa and the Middle East to guide them in the
development of strategies for increasing their effectiveness in meeting
their initiatives when working with non-Westerners. In
recent years, she has applied this knowledge and her over 30 years of
professional HR experience into turning diversity programs into skill
building sessions – building cultural competency to support and enhance
diversity in today’s culturally diverse workforces. The programs
focus on some subcultures which are typically represented in an
intercultural workforce, such as Hispanic, black, Asian, and even
generational subcultures. Custom programs are also available which
focus on subcultures represented in a specific workforce.
1 Hour Continuing Professional Education
Meeting Location
Cityplace Conference
and Event 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_0312.htm.
Contact:
Pamela Krakosky
reservations@dallasiia.org |
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 24, 2012.
Seminars
7th Annual Fraud Summit
Thursday & Friday, March 29 & 30, 2012
UTD Jindal School of Management
March 29 Fraud Workshops (pick one):
- Dan Korem — The Art of Profiling:
Rapid-fire Profiling
- Frederick Bennett, Grant Thornton, LLP — Fraud from Two Perspectives: Perpetrator
and Investigator
March 30 Conference
- Keynote Speaker: Dan Korem
- Two general sessions
- Choose from 18 breakout sessions
- Advanced fraud techniques and
case studies
Summit
Flyer with details
Register NOW to take
advantage of Early Bird rates for the Conference. The
Annual Fraud Summit sells out early every year! Space is limited!
Chapter News
Research Committee
You
are invited to participate in our survey for the 2012 IIA
Research Committee. In this survey, members will be asked
to complete a set of questions about their industry, experience and
opinions on certain matters. It will take approximately ten minutes
to complete. Your participation will provide valuable information
and insight for the research committee. Your opinion matters. Of
course, your participation in this study is completely voluntary.
Survey responses will be coded and held strictly confidential, and
data from this research will be reported only in the aggregate.
Individuals who complete the survey within the first five days
of receipt and provide valid contact information at the bottom of
the survey will have their names placed in a drawing and be eligible
to win one of three $25 gift cards.
The winner will be announced at the March 2012 IIA luncheon meeting.
The final deadline for responding to the survey is February 15,
2012.
Mark Your Calendars for Dallas CPA Society May 4th Conference
The
Dallas Chapter of IIA is joining with the Dallas CPA Society, the
Dallas Chapters of FEI and TEI and the Tax Sections of the State Bar
of Texas and Dallas Bar Association to present the 7th Annual Dallas
CPA Society Education Conference on May 4, 2012, at the Hilton
Anatole. This one-day 8-hour conference will provide a
selection of 42-courses on cutting-edge topics of current interest
to CFOs, Controllers, Internal Auditors, Chief Accountants, Tax
Directors, Vice Presidents of Finance and Practicing CPAs.
The Conference will include a luncheon keynote address by U.S.
Senator John Cornyn, member of the U.S. Senate Finance Committee, on
"The Prospects of Post-Election Tax Reform." Other panel
participants at the Conference will include members of the Texas
House and Senate, officials from the U.S. Securities & Exchange
Commission, Internal Revenue Service, Texas Comptroller's Office,
Texas Attorney General's Office and national speakers on accounting,
auditing, tax, finance and human resource topics.
Registration and a complete conference brochure will be available
starting in late February at
http://www.cpadallas.org. Cost for the conference is
$35.00 for IIA members that are also Dallas CPA Society members
($115 for IIA members who are not members of the Dallas CPA
Society). Cost includes lunch. This conference is
expected to sell out so please register early.
IIA
Research Foundation
Internal auditing is constantly evolving, bringing with it new
challenges, as well as established issues requiring examination from
a new perspective. To support practitioners, The IIA Research
Foundation has established 2012 priority research topics and invites
researchers to submit proposals on:
To learn more, you can click on the links above or write to research@theiia.org..
All responses to submit proposals are due no later than March 12,
2012.
CIA Programs
Honoring New Dallas Chapter Certifications
Have you recently received a new certification from the IIA?
The Dallas Chapter will honor those receiving their certifications
at the March 1, 2012 Chapter Luncheon. Honorees will be
contacted via email on how to register. Certificates have been
mailed by The Institute of Internal Auditors.
Certification News from the IIA
Looking Ahead: Changes to the Certified Internal Auditor®
Program in 2013
Beginning in Jan. 2012, certification candidates will benefit
from two major enhancements to the certification testing process.
The changes will be implemented as an effort to further streamline
the testing process for candidates worldwide.
The first change involves the removal of the tutorial from the
certification exams being delivered at Pearson VUE's testing
centers. The tutorials are being moved to The IIA's website,
www.globaliia.org. This
change will enable candidates to take the tutorial in their language
of choice, without any time limit. In addition, candidates can
complete the tutorial as often as they like. By removing the
tutorial from the exams, The IIA enables candidates to familiarize
themselves with the computer-based testing (CBT) process prior to
sitting for an exam, thus reducing test anxiety and enhancing exam
candidates’ confidence.
The second change to the certification testing process is the
removal of 10 trial (un-scored) questions per exam. For the CIA
exam, for example, this will result in a total of 90 questions per
exam. Because only the trial questions are being removed, this
change will have no effect on candidates' calculated scores. Due
to the removal of the tutorial and the reduction in test questions,
the testing window will be shortened by 30 minutes, reducing the CIA
exam testing period from three hours to two hours and 30 minutes.
Enhanced Examination Process for IIA Certification Beginning in
2012
As the result of findings from a Job Analysis Study (JAS) for
the CIA program conducted in 2011, the Professional Certifications
Board (PCB) and the Board of Directors of The IIA have approved two
key changes to the program. The JAS determined that the body of
knowledge related to the profession of internal auditing has changed
since the last exam content update in 2004, and therefore needs to
be adjusted to reflect those changes.
The first change will impact the exam structure, reducing the
program from four to three exam parts. With the reduction in parts,
The IIA will be eliminating the recognition credit provision
previously applicable to Part 4. The final change consists of a
realignment of the exam content outline and question count for each
part. Below is a brief overview of the new outline:
Part 1 – Internal Auditing Basics
Duration: 2.5 hours Question Count: 125 |
Part 2
Exam: Internal Audit Practice Duration: 2.0 hours
Question Count: 100 |
Part 3
Exam: Internal Audit Knowledge Elements Duration:
2.0 hours Question Count: 100 |
Topical focus areas include:
IIA Mandatory Guidance Internal Control and Risk
Tools and Techniques for Conducting the Audit Engagement |
Topical focus areas include:
Managing the Internal Audit Function Managing Individual
Engagements Fraud Risks and Controls |
Topical focus areas include:
Governance Risk
Management Organizational Structure and Business
Processes Communication Leadership IT/Business
Continuity Financial Management Global Business
Environment |
The new content and three-part
exam structure are scheduled to be implemented by mid-2013. The IIA
is currently working to finalize the transition process for those
who are currently in the CIA program, and do not complete the
program prior to the implementation of the new structure. Additional
details related to the transition process will be made available at
the beginning of 2012.
For more detailed information on the content
outline, or to read our FAQ document, visit
www.theiia.org/certification.
2013 CIA Exam Outline
Frequently Asked Questions about the 2013 Changes
IIA’s
Certification in Risk Management Assurance™ (CRMA™) Off to a Running
Start
In October 2011, The Institute of Internal Auditors
(IIA) began certifying qualified individuals for the Certification
in Risk Management Assurance™ (CRMA™) through a “professional
experience recognition” process. The IIA has received more than
1,000 applicants for certification through this process and has
awarded 279 CRMAs as of Dec. 4, 2011.
This new certification
was launched in response to research indicating that internal audit
functions are increasingly involved in helping organizations improve
their risk management processes. The CRMA designation enables audit
practitioners and other risk-focused professionals to demonstrate
their ability to provide advice and assurance to audit committees
and executive management on the existence and effectiveness of key
risk management and governance processes within their organizations.
Candidates for the CRMA may submit proof of experience, related
certification, and education in order to receive the professional
designation now, in lieu of taking the certification exam that will
be offered starting in June 2013.
On Jan. 1, 2012, there will be
a US $75 increase to the CRMA certification application fee for CIA-
and CCSA-certified individuals. For more information about the new
CRMA designation, visit
www.theiia.org/certification/crma.
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 passing the exam between April and June 2011 should be received around
July 2011.
If you do not receive your certificate by the above dates,
contact the IIA’s certification department:
certification@theiia.org, or call +1-407-937-1100. In
many instances, certificates are not received until the
experience and education requirements are met.
|
Q: |
How do I register for the exam? |
A: |
For more information, please visit the IIA’s website at
http://www.theiia.org/certification/.
|
Q: |
When is the next CIA Review Course? |
A: |
More details will be forthcoming, but keep checking the Dallas Chapter’s Certifications Website at
http://dallasiia.org/Certifications.htm. |
Membership Updates
The Dallas IIA Chapter would like to extend a warm welcome to our new members who
joined the Chapter in November 2011:
January 2011 New Members |
Alphonso Warfield Andrew Flake Andrew Rigsby Aura Dewi
Ben Henderson Breanna Short Brian Denbow Carter Stubbs
Cecilia Prine Chelsea Garner Chris Eidd Conal McArdle
|
Courtney North Cristina Stirbu Fang Liu Gerard Reyes
Holly Williams Jackie Lannom Jaime Gilbert Jana Waller
Jane Gaul Jerrica Lewis Jonathan Subash Laura Phillips
|
Michael Hanners Monico Hinojosa Naveen Krishnan Nhan
Phan Qiannan Zhu Roberta Hendricks Scott Fowler Sherri
Schauer Sherronda Abbs-vernet Susan Foley William Woodard
|
2011 – 2012 Membership Participation Drive
Be Rewarded... For attending monthly IIA meetings!
WHO IS ELIGIBLE?
All Dallas IIA chapter members attending chapter meetings during
September 2011 - May 2012
HOW DOES IT WORK?
Attend monthly IIA lunch meetings to earn a drawing entry (i.e., one
drawing entry per lunch meeting). Attend more meetings this
year for more chances to win the grand prize!
WHAT ARE THE PRIZES?
- The grand prize
winner will receive… a brand new iPad!
- Four runners-up
will receive… a $50 Gift Card!!
Please contact your membership chair’s with any questions!
Marc Doyle (marc.doyle@protiviti.com)
or
Valerie Mitsynskyy (valentina.mitsynskyy@fedex.com)
** Winners will be announced at the May 2012 meeting; you do not
need to be present to win.
2011 – 2012 New Member Appreciation Drive
Be Rewarded... For joining the chapter in the 2011 – 2012 year!
WHO IS ELIGIBLE?
All new Dallas IIA chapter members who joined the chapter from May
2011 - April 2012.
WHAT ARE THE PRIZES?
- The grand prize
winner will receive… a $100 Gift Card!
- Two runners-up
will receive… a $50 Gift Card!!
Please contact your membership chair’s with any questions!
Marc Doyle (marc.doyle@protiviti.com)
or
Valerie Mitsynskyy (valentina.mitsynskyy@fedex.com)
** Winners will be announced at the May 2012 meeting; you do not
need to be present to win.
Are You Connected?
Connect with the Dallas IIA and colleagues in the
profession via social networking pages at the following links: Twitter,
LinkedIn, and Facebook. Gain instant access to the latest
chapter news and excitement!!

How are Dallas IIA Chapter Members Internal Auditing Heroes?
The IIA wants to hear how our chapter members have used the
Internal Auditing Framework (IPPF) or any of the position papers,
practice advisories, and practice guides from The IIA to become an
internal auditing “hero” within their workplace. (Visit the "How Did
the IPPF Make You a Hero" article for examples.)
Click
here for the “I’m an Internal Auditing Hero Because . . .”
form. Please complete and return to headquarters – this will provide
CAP points to our chapter AND you may be featured in an upcoming IIA
membership article. In addition, all entries received by
Jan. 31, 2012 will be entered into a drawing for a US $100 IIA
Research Foundation gift certificate, and the chapter of the winning
entry will receive a complete set of the GTAG series to distribute
as a door prize.
IIA Launches New Video-sharing Site
The IIA has launched AuditChannel.tv, a new video-sharing
site, addressing the specific needs of internal auditors and the
business community. With video channels focused on areas such as
fraud, governance, risk, technology, operations, compliance, and
more, AuditChannel.tv enables internal audit professionals worldwide
to search for and post videos that address the topics of greatest
interest to the profession. There’s even an entire channel for
chapters!
As an IIA member, you are invited to register as a user
at www.AuditChannel.tv or
www.AuditChannel.tv/mobile (for mobile devices). Once
registered, you can view, rate, and comment on the site's current
content — and add your own. Contributing content is easy. Grab your
mobile phone or sit in front of your webcam, film a short segment
(two to five minutes in length), and post to AuditChannel.tv using
the instructions provided on the site.
Collaborative Anti-Fraud Initiative Releases Online Quiz and
Opportunity for CPE Credit!
The Center for Audit Quality (CAQ) has partnered with The IIA,
Financial Executives International (FEI), and the National
Association of Corporate Directors (NACD) for an “Anti-Fraud
Initiative,” which endeavors to increase collaboration among members
of the financial reporting supply chain. The first to release a
collaboration tool is FEI with an online feature article in the
November issue of Financial Executive magazine. The article is
followed by an online quiz that offers a free CPE credit. After
reading the article, be sure to create a profile to receive the free
CPE credits.
Read the article. There is also an additional fraud literacy
quiz you can take to test your knowledge.
Click here to begin the quiz. Read the
full press
release.
COSO Releases Update to Internal Control – Integrated
Framework (Framework) for Public Comment
The Committee of Sponsoring Organizations of the Treadway
Commission (COSO) has released a draft update to the Framework for
public comment. Previously, COSO had engaged PricewaterhouseCooper
(PwC) to author changes to the Framework in consideration of the
evolving business environment and associated risks since its
original publication in 1992. During this process, COSO worked with
PwC on the update approaching ways organizations may adapt to
increasing complexity and pace of change, mitigate risks to the
achievement of objectives, and provide reliable information to
support sound decision making. A broad range of professionals from
industry as well as representatives and observers from academia,
government agencies, and nonprofit organizations have provided a
wealth of perspective on how the original Framework can be
refreshed. While the Framework retains its core definition of
internal control and the five components of a system of internal
control, one of the most significant enhancements made is the
codification of the original internal control concepts into 17
principles and supporting attributes that further support
organizations as they apply judgment in managing risk and improving
performance.
The comment period ends March 31, 2012. At
which time, the Framework will be revised as necessary. Release of
the final Framework is expected by November 2012.
To access
the complete Internal Control-Integrated Framework, please visit
www.ic.coso.org.
For an overview of the proposed
revision, you are invited to attend a webinar hosted jointly by The
American Institute of Certified Public Accountants and The IIA.
During the Webinar, attendees will hear directly from members of the
COSO board and the update taskforce. For more information and to
register,
click here .
IIA 2011–2012 Chairman of the Board Video: "Assess Our
Relevance"
As The IIA’s chief spokesperson and advocate for the
internal audit profession worldwide,
Denny K.
Beran, CIA, CCSA, CRMA, CPA, CFE , chose “Assess Our Relevance”
as his 2011–2012 Chairman’s theme. He believes that internal
auditors must continue to become more relevant to both their
stakeholders and their profession.
As he speaks to The IIA’s
constituents and 170,000 members around the globe, he will encourage
fellow practitioners to assess their own relevance and to strive to
be an indispensable asset to their organizations. You can view the
chairman’s message on The IIA web site and download a
high-resolution copy for your personal viewing.
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, 2012. 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 March 31, 2012
Employment Opportunities
Federal Reserve Bank of Dallas (2/13/12)
JOB POSTING NOTICE
Federal Reserve Bank of Dallas

IT Auditor
LOCATION: Dallas
JOB NUMBER #: 309
DEPARTMENT: Audit
MINIMUM SALARY: Market Priced
Primary Responsibilities
This position is responsible for auditing the processes, procedures and
controls integrated into applications during development and in
production; reporting on the state of compliance with policies,
procedures and standards; and establishing and maintaining relationships
with business units. This position will also interact with various
levels of management, other Federal Reserve System auditors, and
external parties.
Responsibilities include:
- 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 or assist on audit engagements. As the auditor-in-charge, will
direct and review the work of other audit team members to ensure
compliance with departmental procedures and the Institute of Internal
Auditors International Standards for the Professional Practice of
Internal Auditing.
- 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 operations 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.
Job Requirements
- Bachelor’s
degree in Computer Science, Information Systems, Accounting/Finance, or
a related discipline.
- Experience
conducting risk assessments.
- Experience
conducting SDLC reviews.
- Experience
with current legal and regulatory requirements and guidance related to
information security (e.g., SOX, FISMA, NIST, NSA, FDCC, ITIL, etc.)
- Proven
ability to work on and 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/Vista/7, Linux/UNIX, SQL, Oracle, SharePoint and WebSphere
platforms).
- 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
Auditor
LOCATION: Dallas
JOB NUMBER #: 310
DEPARTMENT: Audit
MINIMUM SALARY: Market Priced
Primary Responsibilities
This position is responsible for auditing the processes, procedures and
controls within various business lines but with an emphasis in Financial
Management; reporting on the state of compliance with policies,
procedures and standards; and establishing and maintaining relationships
with business units. This position will also interact with various
levels of management, other Federal Reserve System auditors, and
external parties.
Responsibilities include:
- Develop and execute audit
objectives/procedures to assess controls for new or existing operational
areas primarily in the Financial Management business line, 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.
- Employ Federal Reserve
endorsed risk assessment methodologies to gauge risks and drive work
plans.
- Serve as auditor-in-charge
of or assist on audit engagements. As the auditor-in-charge, will
direct and review the work of other audit team members to ensure
compliance with departmental procedures and the Institute of Internal
Auditors International Standards for the Professional Practice of
Internal Auditing.
- Build business relationships
and act as an audit/internal controls subject matter expert in assisting
business owners in the Financial Management arena.
- 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.
- Interact with all levels of
management to assess operations and communicate results.
- Work with various groups to
follow-up on issues until appropriately resolved.
Job Requirements
- Bachelor’s
degree in Accounting or a related discipline.
- Working
knowledge of Lawson Financials Software or extensive knowledge of
generally accepted accounting principles.
- Experience
conducting operational, financial and IT audits.
- Experience
conducting risk assessments.
- Working
knowledge of Sarbanes-Oxley legislation and associated public accounting
standards.
- Proven
ability to work on and lead audit engagement teams, devise and perform
complex analyses, and prepare documentation which establishes
objectives, issues, options, and recommendations.
- Strong
understanding of financial and operational 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.
- Experience
with Lawson Financials, PeopleSoft, or ImageNow a plus.
- CIA, CPA,
CISA or other related professional certification is a plus.
Interested Candidates respond to:
www.dallasfed.org

GE Capital (1/23/12)

1467402- Lead Auditor
GE Capital Internal Audit (GECIA) is an organization that
brings together 350+ internal auditors and loan review analysts
globally. GECIA is focused on both the regulated and non-regulated
entities of GE Capital, and reports into the GE Board of Directors’
Audit Committee.
Interested candidates can apply directly at
http://jobs.gecareers.com/job/Lead-Auditor-Job/1543300/ or visit
www.gecareers.com and search
for job number 1467402.
Role Summary
Responsible for providing an independent assessment of the overall
control framework, including the integrity of reporting, regulatory
compliance, and operational effectiveness in all functional areas
through the performance of internal control audits, including audit
planning, coordination, risk assessments; facilitate communication of
audit recommendations & control/operational implementations,
coordinate with internal/external audit teams in executing their audit
plans.
Essential Responsibilities
- Responsible
for performing internal control audits for all functional areas
- Timely
execution of audit plans and compilation of results
- Communication through written reports and oral presentations of
audit opinions and related issues
- Ensuring that internal control deficiencies are appropriately
remediated
- Can rotationally lead audits, including logistics planning, audit
tracking, and audit reporting
Qualifications/Requirements
- Bachelor’s Degree in finance, business, or related field or equivalent
4 years business experience.
- Minimum of 2 years’ experience in audit, public accounting, finance,
or financial services.
Eligibility Requirements
- You must apply via COS (internals) or
www.gecareers.com (externals) to
be considered for this position
- Unrestricted work authorization in the United States
- You must be able to satisfy the requirements of Section 19 of the
Federal Deposit Insurance Act.
- Must be willing to comply with pre-employment screening, including but
not limited to drug testing, reference verification, and background
check.
- Must be
able to travel up to 40% of the time.
Additional Eligibility
Qualifications
GE will only employ those who are legally authorized
to work in the United States for this opening. Any offer of employment
is conditioned upon the successful completion of a background
investigation and drug screen.
Desired Characteristics
- Professional certification such as CPA, CIA, CISA.
- Bank regulatory experience
- Proven ability to direct organizations across multiple locations and
operations and work in a matrix-type organization.
- Excellent analytical/technical skills
- Ability to facilitate change in processes/systems.
- Strong written communication and presentation skills.
- Project oriented self-starter with ability to work independently.
- Greenbelt
- ACL Experience
Tenet Healthcare (1/18/12)

Tenet Healthcare - Sr. Auditor
Job Description
Responsibilities:
Assist department management in identifying, analyzing and managing risks and opportunities,
including:
- Conducting work in the field and in the office to
accomplish audit objectives identified during risk analysis.
- Conducting audit follow-up activities.
- Communicating results of
audit projects to management and operations personnel directly
involved with department projects, and as requested, to company senior
management and the Audit Committee of the Board of Directors.
- Documentation and reporting on all audit projects.
Qualifications:
- Bachelor’s degree in accounting or audit.
- Minimum two years
experience in audit/accounting; healthcare auditing a plus.
- Professional certification of at least one (CPA, CIA, CISA) required.
- Excellent interpersonal and communication skills, written and
verbal.
- Familiarity with personal computer operations.
- Ability to travel 25% - 30%.
All candidates should apply at
www.tenethealth.com, Job Number #1005022423
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