The President’s Letter
I am a big baseball fan, so I keep finding myself
thinking of our May Social out at the Ballpark each time I
think of the remainder of the IIA year. However, I
have to remind myself we have a couple of big events between
now and then. So, let’s focus on what is right around the
corner, before we get ahead of ourselves with the baseball
First off, we have the Fraud Summit on March 27th at the
University of Texas at Dallas (UTD). Mark Salamasick
and team have a great program planned and keep teasing us
with a “surprise guest”. I am thinking it will be William
Shatner; he seems to be up for anything these days.
On April 2nd, we head to the Doubletree by the Galleria
as the IIA Road show of 2008/2009 continues. This
meeting will feature William Cobb of PricewaterhouseCoopers,
as he discusses the impact FAS 141R and 160 will have on
Business Combinations and Non-Controlling Interests on
Financial Statements. William will be preceded by Priya
Sarjoo of Grant Thornton as she discusses how to monitor
internal controls systems. Santos Monroy, the President of
the Houston Chapter and Director for Internal Controls for
Sirius Solutions, will make a trip to Dallas to discuss
continuous auditing – Human Action Metrics at our post
meeting. Santos talked to me some about this at the
District Meeting last summer and he definitely has a unique
and interesting perspective on this subject. I suggest you
make an extra effort to stick around to the end of this
meeting. Maanasa Jain and Dana Smith, Senior Managers at
PricewaterhouseCoopers, will discuss IT General Controls at
our April CAST meeting.
When attending these events, try not to think too much
about May 14th when the Rangers will be avenging the
Mariners for that last crushing midday extra inning defeat
from last year. This year, Ichiro will be sent home on “Get
Away Day” crying and wondering about those boisterous,
crazed fans in the right field stands. He will never
suspect they were a bunch of auditors.
2008-2009 President - Dallas Chapter IIA
Next Meeting - Thursday, April 2, 2009
Doubletree Hotel – Near the Galleria
Meeting 12:00pm - 1:30pm
Registration begins at 11:30pm
Business Combinations and Non-controlling Interests - FAS 141R and 160
Will Cobb - PricewaterhouseCoopers Audit Senior Manager
The new Business Combinations rules are a topic of great interest
for many companies. This program educates members on the
significant changes to current practice resulting from the issuance
of FAS 141(R), Business Combinations and FAS 160, Non-controlling
Interests in Consolidated Financial Statements. The course
also examines accounting matters encountered not only upon
acquisition, but also post-acquisition, such as impairment.
Learners will acquire skills and knowledge to help identify and
resolve accounting and financial reporting issues.
Will Cobb has more than 10 years of experience serving clients in
a variety of industries, including healthcare and not-for-profit.
He has significant experience transitioning and serving large public
entities, not-for-profit and governmental entities, mergers and
acquisitions, A-133 compliance, complex accounting issues and the
Sarbanes-Oxley implementation. Will is a leader in the
PricewaterhouseCoopers Dallas practice’s implementation of the new
acquisition accounting guidance under FAS 141R and FAS 160, and
works with the Firm’s national leadership in ensuring consistent
application of these complex new standards. Will received his
Bachelor’s and Master’s degrees in Accounting from Auburn
University. He is a member of the American Institute of
Certified Public Accountants and is licensed in several states.
Clients served include Sun Healthcare Group, University of Alabama
System, St. David’s Healthcare Partnership, Valley Baptist Health
System, Horizon Medical Products., Auburn University, Bearing Point,
L-3 Communications, and Saks, Inc.
1 Hour Continuing Education
Core Audit Skills Track (CAST)
The Dallas IIA is launching an exciting new initiative that will focus
on critical skills necessary for all auditors to master and
comprehend in order to succeed in the practice of internal
auditing. Subject matter experts will present topics such as: the
professional standards, building the audit report, closing
conference strategies, audit evidence, etc. The program will
present a new topic every month as a separate track pre-meeting
lasting for approximately two years. Those who attend a majority of
the sessions will get special recognition.
CAST Meeting 10:30am - 11:30am
Registration begins at 10:00am
IT General Controls
Maanasa Jain, PricewaterhouseCoopers Senior Manager
Dana Smith, PricewaterhouseCoopers Senior Manager
Most internal audit groups conduct ITGC (IT General Controls)
reviews, whether it be for Sarbanes-Oxley or for
operational/financial purposes. The concept of the importance of
ITGCs as it impacts systems implementations, comfort gained over
automated controls, or the relationship between ITGCs and system
reports/automated accounting procedures have become clear over time.
However, the inter-linkage between ITGCs and the financial audit
(conducted by external auditors) is not always clear to management.
As companies continue to strive for more effective and efficient
audits within their own environment, understanding the external
auditor's balance between a controls based audit (including ITGC
reliance) and a substantive audit are critical.
Dana Smith is a Senior Manager in the Assurance Industrial
Products and Retail Practice of PricewaterhouseCoopers with over 12
years of experience serving multinational public clients in the
Retail, Consumer and Industrial Products industries.
Dana collaborated with three multi-location public companies in
the initial year of 404 to design the appropriate approach; this
included making decisions regarding scoping, timing of the work,
volume of the work, analysis of design, and related deficiencies and
consideration of the appropriate level of reliance placed on others'
work. Since the adoption of 404, Dana has additionally worked
with multiple companies on the adoption of PCAOB Auditing Standard,
No. 5, An Audit of Internal Control over Financial Reporting that is
Integrated with an Audit of Financial Statements. This
adoption enabled companies to decrease the number of controls and
related time and costs. In addition to integrated audit experience,
Dana has assisted numerous clients with mergers and acquisitions,
regulatory filings, private placement offerings, and comfort
letters. She is an assurance methodology leveraged expert for
PwC's North Texas Market. Additionally, Dana has significant
experience leading seamless coordination with other lines of
service, including tax and IT. She spent nine years in the
Portland, Oregon office before transferring to Dallas three years
Dana earned her BBA in Accounting and Finance from Texas
Christian University and is a licensed CPA in Oregon and Texas.
Maanasa Jain is a Dallas-based Senior Manager in the Systems and
Process Assurance practice of PricewaterhouseCoopers. She has over
11 years of combined experience in auditing and consulting within
the business process and information technology fields. For the past
four years, Maanasa has been focused on Sarbanes-Oxley compliance
efforts, both from an external audit perspective as well as serving
in an advisory capacity for non-audit clients. She has led
engagements to assist clients with Sarbanes readiness for
multi-billion dollar companies. Maanasa has also assisted clients
though major business changes including business process and IT
controls redesign for several high-technology, retail and consumer
products companies. Most recently, Maanasa has been speaking to
several companies in the marketplace regarding AS5 and its impact on
their organizations. She is one of the local market leads for
internal controls optimization.
Maanasa has a B.B.A. in Management Information Systems from Texas
A&M University. She is also a Certified Information Systems Auditor
1 Hour Continuing Education
Pre-Meeting 10:30am - 11:30am
Registration begins at 10:00am
Guidance on Monitoring Internal Control Systems
Priya Sarjoo - Senior Manager Grant Thornton
Why should companies be concerned about monitoring internal
Internal control systems that are not monitored effectively
deteriorate over time, thus increasing the risk of potentially
significant control failures. Today, businesses change quickly
and the importance of good monitoring increases as organizations get
COSO developed monitoring guidance because they observed some
organizations had effective monitoring in certain areas, but were
under-utilizing the results of the monitoring to support their
conclusions about the effectiveness of internal control.
Consequently, organizations often added unnecessary redundant
internal control evaluation procedures. Meanwhile, other
organizations were not making the best use of ongoing monitoring
procedures or lacked necessary monitoring procedures.
Grant Thornton’s internal control specialists were the project
leaders and main contributors to COSO’s guidance. During this
presentation, you can hear firsthand how companies can improve the
effectiveness and efficiency of their internal controls systems.
Our discussion will explore ways in which monitoring can be
incorporated or increased into internal control processes and we
will also discuss how effective monitoring helps reduce costs within
the internal control system.
Priya Sarjoo joined Grant Thornton in 2001 having previously
worked in the private sector in the wholesale assembly and
distribution, and hospitality industries. With more than 15
years of experience in accounting, internal controls and business
process improvement, Priya has assisted companies with operational
improvements and with developing appropriate internal controls to
manage their risks.
Priya has helped her clients with their internal audit needs,
including compliance auditing, improving operational efficiencies,
enhancing monitoring mechanisms, and streamlining management
Priya has also worked extensively with U.S. public companies in
the Consumer and Industrial Products, Technology, and Hospitality
and Gaming sectors in preparation for compliance with the U.S.
Sarbanes-Oxley Act. Specifically, she has helped her clients
use the COSO framework to assess their entity and process-level
risks; implement and document internal controls; implement and test
controls in corporate governance, business and financial reporting
processes; and evaluate deficiencies.
Priya has significant experience working with Board members and
Board level Corporate Governance and Audit Committees to help them
improve and develop their corporate governance practices. Her
work with Board Committees includes working directly with directors
to implement oversight, monitoring and reporting mechanisms,
implement whistle-blower programs, and assist with committee
Priya has also worked with clients to help improve usage of their
information technology business systems. She has identified
inefficiencies and gaps in client processes and helped design
processes which improved client use of existing technology.
Additionally, she has provided guidance in the selection, evaluation
and analysis of a financial application including General Ledger,
Accounts Payable, Accounts Receivable, and Fixed Assets. She
identified and documented the key business requirements, developed a
detailed demonstration script, and provided guidance with vendor
1 Hour Continuing Education
Post-Meeting 1:30pm - 2:30pm
Continuous Auditing-Human Action Metrics
Santos Monroy - Sirius Solutions Internal Audit Director & President of the Houston Institute of Internal Auditors
Corporations are continuously exposed to operational
deficiencies, financial reporting assurance delays, significant
errors, possible frauds, security access, and other operational
inefficiencies that may lead to immediate or future financial
This session will enable attendees to take action immediately and
assure operational, financial and IT efficiency. Human Action
Metrics has been implemented to monitor over $100 billion dollars.
Continuous Auditing allows for immediate reporting. It enables
internal audit, information security, and risk management to audit
and monitor daily operations, financial systems and IT access. You
will learn to automate:
- Internal Controls
- Exception Reporting
- Operational Improvement
- Assurance in Financial, Operational and IT activities
Santos Monroy is a Director for Internal Controls for Sirius
Solutions. During his 15 year career, he has worked in or consulted
with Fortune 1000 and mid-size companies. His financial and banking
experience in audit, operations and IT has enabled him to develop
continuous auditing techniques that enabled management to audit and
monitor $100 billion for a GE Capital private commercial loan
servicing company. Continuous Auditing and Risk Management is his
Santos has a diverse set of skills of IT, Operations, Finance and
Audit. He is the current President for the Houston Chapter Institute
of Internal Auditors.
1 Hour Continuing Education
reward that you can feel.
Dallas IIA monthly meetings are rewarding in their own right –
whether for the great line up of speakers, the CPE credit, to
network with colleagues, or to hone your skills with the new CORE
Audit Skills Track (CAST), there are plenty of reasons to attend
each month. This year, the Membership Committee is sweetening the
deal even more: each monthly IIA meeting you attend increases your
chance to win an iPod touch that will be awarded during our May
This meeting is being held at
Doubletree Hotel - Near the Galleria
4099 Valley View Lane, Dallas 75244
Place and confirm your reservation via the
web site at
|Meeting / Luncheon Fees:
Dallas IIA: $35
Walk-ins/late registrations (members or non): $45
Reservations must be received by 5:00 PM on Friday,
March 27, 2009.
Registration Cancellation and No-Show Policy
- The deadline to cancel your registration is 11:00pm on the Tuesday
prior to the luncheon.
- If you register for an event and do not
cancel prior to the deadline, you will be charged for the event. If
you did not pre-pay for the event, an invoice will be sent to you.
You may alternatively send someone in your place.
- To cancel your
registration, please send an email to
We Now Accept Credit Cards - Online Only
The IIA Dallas Chapter, in conjunction with PayPal, will now
accept payment online for the monthly luncheons. There is no change in the cost
to you for the lunch. We accept VISA, MasterCard, Discover, American Express, or
eCheck. Note that some corporate-issued cards are not accepted by PayPal. This
service is only available online at the time the reservation is made. This can
be used to pay for individual or group reservations. Follow the instructions on
our web site. If you properly cancel a reservation before the meeting, the
Chapter will either return the funds to you or reserve you for the next meeting. Any questions, contact Abe Paul at
After you place your reservation online, you will see the
link to pay via PayPal if desired.
Network Auditing Course
Hosted by JCP
Class size is limited to the first 50 paid registrants!
||April 30 through Friday, May 1, 2009 (Thursday and Friday)
||8:00AM – 4:00PM; Thursday check in begins at 7:30 am
||JCPenney Home Office
6501 Legacy Drive
Plano, TX 75024 - Map at
||$300 (includes training materials, continental breakfast, lunch,
snacks and beverages). Payment is due at time of registration. We
recommend that you pay through PayPal to confirm your registration.
||Online at http://dallasiia.org/Seminar_Reserve2.htm. If you have any questions, please contact Pamela Krakosky at
||April 20, 2009 is the last day to register.
||There is a $60 cancellation fee per registrant on cancellations
between April 20 and April 24. Refunds will not be granted after
April 24, however, substitutions are permitted. If payment has not
been received by April 20, the Dallas Chapter of the IIA reserves the
right to deny entrance as we expect this seminar to sell out.
Tanya Baccam, Baccam Consulting, LLC
Tanya is a SANS senior instructor, as well as a SANS courseware author.
She provides many security consulting services for clients such as system
audits, vulnerability and risk assessments, database assessments, web
application assessments and penetration testing. Tanya has previously
worked as the Director of Assurance Services for a security services consulting
firm, as well as being the Manager of Infrastructure Security for a healthcare
organization. Tanya also served as a Manager at Deloitte and Touche in the
Security Services practice. Throughout her career, she’s consulted with
many clients about their security architecture, including area such as perimeter
security, network infrastructure design, system audits, web server security, and
database security. She has played an integral role in developing multiple
business applications and currently holds the CPA, GCFW, GCIH, CISSP, CISM,
CISA, CCNA, CCSE, CCSA and Oracle DBA certifications.
This two day course teaches how to audit key network components in depth,
including routers, switches, firewalls, IDS/IPS and wireless access points,
including the tools and techniques to audit such systems. Vulnerability
scanning and assessment techniques are also investigated. Review critical
systems that exist on the network and identify what key items should be reviewed
to properly secure the environment. Services such as DNS, mail, and web
services are discussed.
IT Auditors, IT Risk
Management and IT Network Professionals.
What You Need:
Laptop Computer with CD-Rom drive, a minimum of 3
gigabytes of free hard disk space, a minimum of at least 1 gigabyte RAM, Windows
XP Professional SP 2 or higher, and administrative privileges or the capability
to install and run tools.
Congratulations to our New CIA’s
Ceremony to Honor New CIA’s and CCSA’s
The Dallas Chapter will be honoring the 17 new CIA’s and seven
new CCSA’s who completed their examination requirements between
October and December 2008 at the April 2, 2009 meeting. CIA
and CCSA honorees will receive a free luncheon for them and their
guest. Instructions on how to register for the meeting will be
emailed to the honorees.
Congratulations to the following honorees:
Certified Internal Auditors:
Heon Jon Jeong
Certifications in Control Self-Assessment:
Darwin Dela Cruz
Frequently Asked Questions
Q: I haven’t received my certificate yet – where is it?
A: Contact the IIA certification department: Email at
Q: How do I register for the exam?
Mark Your Calendars! 2009 CIA Review Course Schedule
NEW DATE! The next CIA review course will be held in
September 2009 and taught by Dr. Glen Sumners of LSU. The
course will be held at The University of Texas at Dallas.
Registration will be announced in July 2009 for the September
Research Committee Update
The annual Research Committee Survey begins now! Please click the
link below to review the directions and begin the survey.
Remember, the survey is anonymous, but you need to enter a
valid email address after you complete the survey to be entered into
a drawing for one of five $50 gift cards to use wherever you like!
Thank you in advance for participating in the Research Committee
Annual Member Survey
Please take a minute to complete the Annual Member Survey:
Chapter :: 2009-2010 Member Survey
Sold out Again!
Thank you all for supporting the annual UTD Fraud Conference,
which gets better every year. We sold out almost three weeks
in advance of the conference, and have much to offer with concurrent
case study sessions in the afternoon. Last year, we provided a
book for all attendees; this year, we have a special guest, depicted
as one of the main characters in the movie “Breech”.
Registration was closed out early this year, due to the overwhelming
early response. Next year, the Fraud Conference will be on March 26,
2010, and we will again be at UTD. Make sure to register early
again next year!
As many of you know, this one day event has been a signature
event of the program and provides for the continued funding of the
program, along with the growth of the program through marketing
efforts. We are getting even more calls for entry level
students in internal audit, with audit groups looking for interns.
Many students are looking for internships to get their careers
started, in addition to see which employer best has the culture they
are looking for. We still have difficulty marketing the
program to other students and getting the word out about internal
audit. Large events such as the Fraud Conference helps in
having others see the significance of internal audit and the
interest in internal audit.
If you are interested in recruiting on campus or assisting the
program in any way, contact Mark Salamasick at 972-883-4729 or
email@example.com. 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.
IIA Research Foundation
IIA Research Foundation has issued a report available for free
download entitled International Financial Reporting Standards
(IFRS): What Internal Auditors Need to Know. The International
Financial Reporting Standards (IFRS) — a set of global accounting
standards developed by the International Accounting Standards Board
(IASB) — are quickly becoming the worldwide norm for financial
statements in publically traded entities. This research report aims
to provide internal auditors with a working knowledge of this
important challenge facing many companies and to help in planning
for the road ahead. Highlights in this report:
IFRS versus U.S. GAAP: What is the difference?
Internal audit’s responsibility in the IFRS process.
Business Impact: Key changes to expect from IFRS.
Proposed timeline for IFRS Convergence in Unites States.
Summary and IFRS resources.
The report can be downloaded free of charge from The IIA Web site
however, a contribution is requested.
Are You Looking For a Job? If so, the Dallas Chapter Wants to
Did you recently lose your job as an internal auditor?
Do you know someone that recently lost their job as an internal
Unfortunately, there are many of us that can answer yes to the
first question and most of us can answer yes to the second question.
Internal auditors at all levels are being laid off from their
companies, whether public, private, government or consulting.
The Officers and the Board of Governors of the Dallas Chapter of
the IIA are concerned about the impact of the current economic
conditions to our membership and we want to help.
Did you know there is an Employment Committee? This Committee,
chaired by Greg Dubis (firstname.lastname@example.org)
acts as a match-maker for those companies
that have job openings with members that are looking for a job.
Please contact Greg if you have a job opening or if you are looking
for a job.
In addition to the Employment Committee, we are currently
evaluating what else the Dallas Chapter can do to help those without
a job. To do this, we need to better understand how many members
have lost their job and are looking for a new position.
In the very near future, we will ask you to complete a survey to
help us better determine what we can do.
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 march . 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 April 15, 2009.
POSITION: OPERATIONAL AUDITOR
LOCATION: BEDFORD, TX
PURPOSE OF THE POSITION: The purpose of the position is to
assist the Internal Auditor with audits and prepare the supporting
documentation from various sources. Assist the Internal Auditor
with the following duties in an effort to create audit packages for
Internal Audit review. The nature of this position requires inside
contact with company employees at all levels, as well as contact with
outside representatives, including representatives of the company’s
insurance carriers, external auditors, or other business related
representatives such as selling dealers or repair facilities.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other
duties may be assigned:
- Interfaces directly with management and staff
in the performance of their daily activities.
- Reviews critical business processes for
enhancements to the company’s operating systems and processes and for
compliance with operating procedures, as well as those requirements
established by the company’s insurance carriers.
- Assists in the execution of audit assignments
including the retrieval of requested data and documentation and analysis
- Provides assistance as requested on Insurance
- Reviews transactions, documents, records,
reports for accuracy.
- Reviews the results of externally prepared
audits for accuracy, completeness and technical compliance.
- Conducts interviews and discussions with
staff regarding deficiencies and weaknesses noted.
- Reports audit findings and make
recommendations for the correction of unsatisfactory conditions,
improvements in operations, and/or reductions in costs.
- Prepares acceptable working papers that
record and summarize data on all assigned audits.
- Assists in the performance of special reviews at the request
- Recommends changes and/or modifications to internal
- Bachelor’s degree in finance or accounting.
- Minimum of 3 years work experience in the
financial services or accounting industry.
- To perform this job successfully, an
individual must have intermediate knowledge of Microsoft® Word, Access,
Excel, PowerPoint, Outlook, Internet navigation and the willingness to
learn audit software packages such as ACL.
- CIA designation a must.
- Ability to travel. (approximately 20%)
Please send resumes to:
Dr Pepper Snapple Group (2/17/09)
Dr Pepper Snapple Group (NYSE: DPS) is one of the largest beverage
companies in the Americas. We manufacture, market and distribute more
than 50 brands of carbonated soft drinks, juices, ready to drink teas,
mixers and other premium beverages across the United States, Canada,
Mexico and the Caribbean. Our diverse portfolio includes Dr Pepper,
Snapple, 7UP, Mott’s, A&W, Sunkist Soda, Canada Dry, Hawaiian Punch,
Schweppes, Peñafiel, Squirt, Clamato, Mr & Mrs T Mixers, Rose’s, Yoo-hoo
and other consumer favorites.
Senior Corporate Auditor
The Senior Corporate Auditor will execute corporate audit assignments
and assist with Sarbanes Oxley (SOX) compliance throughout the
company. Assist in providing recommendations that improve internal
controls, add value and/or create greater efficiencies with respect to
operations and financial reporting. Work with key audit resources to
complete assigned projects on schedule. There will be some
exposure to senior management throughout the organization
- Assist the Manager of Corporate Audit in performing company-wide annual
risk assessments and preparation and execution of the annual audit plans
- Responsible for executing complex audits; assist in the performance of
critical project management duties including the planning, scheduling,
coordinating, reviewing and reporting of the work of audit teams; and
providing expertise in auditing standards and performance criteria,
audit requirements, and information technology skills
- Execution of assignments related to operational auditing, financial
auditing, and SOX compliance
- Maintain corporate audit independence and objectivity in all assignments
while developing and maintaining effective and value-adding business
- Assist in the developing and executing of corporate audit procedures,
schedules, priorities and programs for achieving audit objectives and
- Preparing audit reports using sound writing skills
- Participate in special assignments as deemed necessary by the Manager of
Corporate Audit and management
- Ensure that recommendations are clearly presented to and agreed to by
management and that a subsequent audit report is issued promptly
- Ensure that all agreed recommendations are subsequently implemented;
- Stay abreast of best practices and provide conduit for introducing those
practices to the company
- Three or more years of accounting and auditing experience, including at
least one year of supervisory experience, with a minimum of two years of
public accounting experience is required
- Experienced with SOX and risk assessment methodologies;
- Information systems audit experience a plus
- Bachelor or Masters degree with an emphasis in accounting, information
systems or finance.
- CPA, CIA, CISA, CMA, MBA, and/or MS Finance preferred.
- Demonstrated team skills
- Demonstrates initiative and drives for results
- Takes accountability for scope of control
- Strong interpersonal skills – ability to work closely with people at all
levels of the organization and facilitate the implementation of
- Project management experience strongly desired;
- Ability to influence business partners and key stakeholders
- Excellent verbal and written communication and presentation skills
- Excellent organization and documentation skills and the ability to
thrive in a fast-paced environment
- Proficient in MS Word, Excel, Visio, and PowerPoint.
- Ability to work in all types of environments from manufacturing plants
and distribution centers.
- Willing to travel to locations throughout the U.S., Mexico and Canada
Manager, IT Audit
Ensure that IT internal controls are operating effectively within the
Company and that the Company is in compliance with best practice and
regulatory compliance requirements. Assist in changing IT environment
and be able to functionally perform IT testing while also having the
appropriate knowledge base to interpret financial and operational risk
inherent in the current environment.
- Assist with the development of the risk/control profile of the IT
organization and help develop the annual IT audit plan
- Plan and direct the timely execution of audits of information systems
risks and controls, including SOX and other compliance initiatives
- Act as Liaison for external auditor IT testing and projects
- Participate in system development and implementation projects, including
third party application software to ensure appropriate controls are
implemented during the development and implementation process
- Oversee major components of audits and may lead audit of diverse
business units, or performs components of audits
- Perform risk assessments by analyzing business activities and potential
exposures and the materiality of loss.
Design and perform audit procedures, including identifying and defining
issues, reviewing and analyzing evidence, and documenting auditee
processes and procedures
- Carry out any special IT audit and consulting projects as requested
- Ensure accurate and timely identification and reporting of audit issues,
issue resolution and delivery of high quality audit services
- Design and execute internal control testing for standardized operations
of moderate complexity with more than one component
- Plan, perform and lead audit tasks of high-level difficulty,
demonstrating the degree of audit experience needed to effectively
supervise the work of other auditors
- Demonstrate an in-depth understanding of the broader context and
implications of the various types of risks affecting the business (e.g.,
financial, compliance, reputation, etc.)
- Effectively identify and understand changes in a higher complexity risk
environment, and adapts the audit testing as appropriate
- Demonstrate flexibility in responding to changes in assignment and job
- Draft audit reports, memorandums or other presentations to communicate
results and recommendations from reviews
- Travel to locations throughout the U.S., Mexico and Canada as applicable
- Bachelors or Masters degree in business, accounting, computer science
and/or other appropriate academic major
- CISA certification required, CPA or CIA preferred
- Minimum of 7 years of relevant experience in a similar capacity
- Big 4 public accounting/auditing experience is required
- Experience assisting in development of IT audit risk assessment and
- Experience with system implementations, working with various
technologies and system infrastructures
- SAP and UNIX experience preferred
- Strong technical understanding of IT systems development and processes
- Strong understanding of CoBIT and SAP systems a plus
- Strong background in process and controls and understanding of the
operating business environment from a controls and compliance
- Strong interpersonal skills to successfully develop relationships among
various groups, such as IT management, corporate management and external
- Excellent verbal, written, communication and presentation skills
- Demonstrated team skills, initiative and drive for results
- Takes accountability, ability to influence business partners and key
- Project management experience a plus
- Excellent organization and documentation skills and ability to thrive in
a fast paced environment
To apply to either position, please send resumes to: Rhonda.Merchant@dpsg.com.
Equal Opportunity Employer
United Surgical Partners International (2/4/09)
Headquartered in Addison, Texas, United Surgical Partners
International (“USPI”) is a leader in the ambulatory surgery center and
short–stay surgical hospital industry. Many of our 160+ domestic
facilities are jointly owned with not-for-profit
systems. We also operate facilities in London, England. USPI
was founded in February 1998, went public in 2001 and was taken private
again in April 2007.
USPI is currently seeking an INTERNAL AUDIT MANAGER, with the following
- Bachelor’s or higher
degree in accounting or finance
- Professional designation/certification
(CPA or CIA) required. MBA or CISA a plus.
- Six plus years work experience in public
accounting, internal auditing or combination, with at least three years
experience managing audit teams
- Knowledge of GAAP, financial reporting
and financial controls, including Sarbanes-Oxley internal controls
assessment and testing experience
- Information technology auditing and/or
Oracle experience a plus
- Project management exposure
- Excellent interpersonal skills and
ability to build, coach & mentor a high-performing audit team
- Excellent oral & written communication
skills and proven ability to work effectively with various levels of
- Strong work ethic, analytical thinking
and organization skills
- Ability to work in a fast paced, detail
- High proficiency in Microsoft Office
tools (Excel, Word, PowerPoint and Outlook) & general systems aptitude
- Ability to travel overnight during the
week, almost entirely within the US (approximately 25-35%)
Responsibilities and Expectations
The following description is intended to reflect the major
responsibilities of the job, but does not describe the minor duties or
other responsibilities as may be assigned from time to time.
Reasonable accommodations may be made to perform the essential
- Observe, document and evaluate actual
operating procedures. Identify existing or potential
inefficiencies and internal control weaknesses
- Conduct or oversee all aspects of audits
at surgical facilities and the Home Office, including duties such as:
- Selecting samples and
performing detailed test work
- Developing and
reviewing work papers and documentation of audit findings
- Developing and
reviewing appropriate recommendations for solution or improvement of any
problems or control deficiencies uncovered
- Clearly communicating
results of audit findings and recommendations for improvement to
management through concise and high quality audit reports
- Monitor implementation status of audit
recommendations agreed upon by auditee management
- Maintain and update audit programs &
recommendation repository to insure they are current and relevant
- Assist in the development and review of
continuous auditing procedures and fraud identification procedures
- Summarize internal control testing for
Sarbanes-Oxley purposes and coordinate efforts with external auditors
- Assist in the preparation of reports and
communications for senior management and the Audit Committee
- Assist in the development of an
enterprise risk assessment and the creation of the annual audit plan and
- Act as Internal Audit representative on
various cross-organizational projects
- Perform special audits or projects as
- Train & supervise audit staff, reviewing
their audit work papers and results
- Perform normal HR functions for staff
including providing input for staff development and training needs.
- Foster and promote a positive work environment enable staff development,
morale and advancement within the department and corporation.
For consideration, please send your resume to
or fax it to 972-692-8099
Comments, questions, suggestions?
© Dallas Chapter Institute of Internal Auditors
P. O. Box 261747, Plano, TX 75026-1747
The following links will take you to our web site,