eNews - April 2014

The President’s Message

Shakeya A. McDow
2013/14 President – Dallas IIA
president@dallasiia.org

Thursday, April 3, 2014

Risk Assessment

Meeting 12:30pm - 1:30pm
Lunch to start being served at 11:45am
Registration begins at 11:30am

Get More Out of Your Risk Assessment
Alyssa G. Martin, Dallas Executive Partner, Risk Advisory Services, Weaver
John Wauson, Senior Manager, Risk Advisory Services, Weaver

Objective: Risk assessments are the fundamental backbone to develop an internal audit plan and ensure that audit resources are allocated to cover critical risks.  However, an Enterprise Risk Assessment (ERA) approach can be useful and yield additional benefits to an organization beyond the internal audit function.  This presentation will address the benefits of expanding the risk assessment process to incorporate feedback across the entity from individuals in all functional areas of the business in performance of the assessment, evaluating the results, and developing a plan to identify and evaluate mitigating activities.

Your entity’s past audit plans may have been based on a process-level universe and shown to cover the financial and regulatory compliance activities first.  Performance of an enterprise risk assessment will help you to identify key risk factors and events, as well as how they impact the activities of your organization.

No prerequisites required.

Alyssa Martin, MBA, CPA has 25 years of public accounting experience includes 17 in internal control process risk management. She directs and executes financial and operational internal audits, risk assessments, corporate governance and compliance, IT audits, SOC reports, organizational evaluations, designs/develops policies and procedures in domestic and international entities across various industries. She defines, reviews and implements operational strategies, evaluates/develops/reviews cash-flow models and process output. She serves on the Institute of Internal Auditors, North American Board – Publications Advisory Committee, the University of Texas at Dallas School of Management’s Executive Advisory Committee and chairs the Baker Tilley International Corporate Governance and Risk Compliance Committee.

John Wauson, CPA, is a Senior Manager at Weaver and has more than seven years of public accounting experience with a practice emphasis in risk assessment, internal audit, business consulting and process improvement, SOC reporting, Sarbanes-Oxley Section 404 compliance, IT general controls review, and outsourced accounting and financial reporting services.  He has experience with outsourced internal audit projects over financial reporting and operational issues, internal control design, implementation and effectiveness testing for both private and public sector clients. He is on the TSCPA’s Young CPAs and Emerging Professionals committee.

1 Hour Continuing Professional Education.


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

Why Good Ideas Don’t Get Implemented
Courtenay M. Thompson, Jr., Courtenay Thompson & Associates

Objective: Have ever wondered why your findings are rejected?  A seemingly good idea is brought forward, only to be ignored by decision makers.  Although it may be somewhat comforting to believe that our great ideas are blocked by lack of vision and incompetence, there is often much more going on.  This session will address:

  • Why good ideas are commonly rejected.
  • Factors including motives of decision makers, cognitive dissonance and hidden reasons.
  • Examples of audit-related ideas never accepted. Practical suggestions for encouraging acceptance of your ideas. 

No prerequisites required

Courtenay M. Thompson is a recognized authority on training managers, auditors and investigators in fraud-related matters.  He has designed and presented courses on fraud prevention, detection and investigation for business and government organizations worldwide.  His courses are known for providing practical, proven approaches to real problems.  These practical approaches have yielded dramatic results for class attendees.

1 Hour Continuing Professional Education


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

Exploring Bribery Risk in 2014
Courtenay M. Thompson, Jr., Courtenay Thompson & Associates

Objective: Risk of bribery and improper influence existed long before the UK Bribery Act and the FCPA.  Addressing bribery risk requires commitment and constant vigilance.  This session will address:

  • Exposures to bribery – What’s really going on.
  • 15 methods used to bribe and influence.
  • How to look for and detect kickbacks, bribery and corruption.
  • Specific suggestions for auditors and executives seeking to curtail bribery. 

No prerequisites required.

Courtenay Thompson is a recognized authority on training managers, auditors and investigators in fraud-related matters.  He has designed and presented courses on fraud prevention, detection and investigation for business and government organizations worldwide.  His courses are known for providing practical, proven approaches to real problems.  These practical approaches have yielded dramatic results for class attendees.

Although best known for training auditors in effectively meeting the challenge of fraud, Courtenay also develops and conducts courses on improving audit effectiveness, audit interviewing, behavior and communication skills, and contract auditing.  He is the co-developer with R. L. Townsend, of a series of courses on audit and control of construction costs.  For 13 years, Mr. Thompson was editor of "Fraud Findings" in The Internal Auditor magazine.

Courtenay Thompson received his BBA and MBA degrees from Southern Methodist University and is a Certified Public Accountant.  He is a member of the Institute of Internal Auditors, Inc., the AICPA and TSCPA.  Visit www.ctassoc.com to learn more.

1 Hour Continuing Professional Education


Meeting Location

DoubleTree Campbell Centre - Dallas
8250 N Central Expressway; Dallas, Texas 75206


View Larger Map

>> Current Month Registration - CLOSED <<

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 on Friday, March 28, 2014.

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 .

Chapter News

Dallas IIA Social Media

Follow us on our social media for updates, information, and current events!



This year is the Dallas IIA’s 65th Anniversary, and we encourage you to celebrate with us this year at our monthly meetings and conferences! Please use the hashtag #DIIA65 to post about this incredible anniversary. We encourage you to submit Dallas IIA photos, stories, memories, or anything else using the hashtag #DIIA65, so that we may celebrate together!

We are proud to announce that the Board of Governors approved our very own Dallas IIA Social Media Policy! We will be posting the full policy to the website soon, and we encourage all of our members to read the policy and become familiar with it!


News from UT Dallas

http://som.utdallas.edu/iaepThe UT Dallas Student Chapter IIA/ISACA/ACFE is busy preparing for the 9th Annual Fraud Summit on March 27th and 28th.  We will be holding the Friday morning events in the beautiful new lecture hall at the ATEC building.  The afternoon has 24 breakout sessions, including topics such as “Bamboozling the Auditors in a Few Easy Steps” and “User-Designed Applications: How to Control Spreadsheets Gone Wild.”

In addition to planning the Fraud Summit, the student chapter is continuing to host companies with weekly receptions.  Our most recent companies have been Liberty Mutual, Weaver, BB&T, KBR, and Whitley Penn.  We also continue our student recruiting, most recently presenting to the Accounting Club about the benefits of the Internal Audit program.


IIA Research Foundation

The Research Foundation has issued the report entitled Closing the Gaps in Third-Party Risk Management: Defining a Larger Role for Internal Audit.  Third-party relationships are growing in importance to all types of organizations in all industries.  Helping to manage and control the risks associated with a company’s relationships with third parties would seem to be a natural role for an internal audit department.  In view of this emerging risk, The Institute of Internal Auditors Research Foundation and Crowe Horwath LLP conducted a cross-industry survey of 164 chief audit executives to assess the level of involvement of internal audit in monitoring third-party relationships.

A surprisingly large percentage of survey respondents indicated that their organizations make limited use of internal audit resources in managing and controlling risks (82%).  At the same time, more than 65% of the internal audit executives in the survey described their organizations’ reliance on third parties as either “significant” or “extensive.”  Survey respondents also noted that there is a lack of consensus about ownership of third-party risk.  When the respondents were asked who has the primary day-to-day responsibility for evaluating and overseeing third-party risk in their companies, the answers varied widely.

This research report gives internal audit leaders key perspectives that will help them plan for their involvement in building and managing a third-party risk program at their organizations.

The book can be ordered online at:  http://www.theiia.org/bookstore/product/closing-the-gaps-in-thirdparty-risk-management-defining-a-larger-role-for-internal-audit-1765.cfm.  The item is free as a download to IIA members (Item number 5029.dl, non-member price - $25).


Chapter Book of the Month

20% off the Chapter Book of the Month

Lessons Learned on the Audit Trail

This month’s feature:

Richard F. Chambers’ journey on the audit trail spans nearly 40 years with stops in both government and the corporate sector and, since 2009, as president and CEO of The IIA. In Lessons Learned on the Audit Trail, Chambers shares many of the key events and insights gained during his impressive career, as well as valuable lessons he learned along the way. Compelling features of the book include:

  • Stories from specific phases of Chambers’ life and as an internal auditor.
  • Career-defining decisions and the motivation and influences behind them.
  • Ultimate “life lessons” learned in real time and upon reflection.

Post this flyer on your chapter website and share with your members at your next event. Enter promotion code CHAPTER at checkout to save 20% on Lessons Learned on the Audit Trail through March 31, 2014.


Academic Relations

We will be participating in a Junior Achievement Event on 4/25/2014. We will be meeting at the Cesar Chavez Elementary School in Dallas and we will read and teach to the kindergarten through 2nd grade classes. We need many volunteers to help represent the Dallas IIA and make this event a success! If you would like to participate please contact Chris Mowery at cmowery@eaglematerials.com.  If you would like to volunteer, you will need to watch a short online tutorial prior to the event. We look forward to seeing you there!


Let’s Celebrate! May is International Internal Audit Awareness Month

International Internal Audit Awareness Month helps build awareness for the internal audit profession and the value internal auditors bring to their organizations. We’re all in it together. Successful chapter campaigns elevate the profession and serve as models for other chapters — even other countries — to emulate.

You are invited to play an important role in the upcoming Awareness Month celebration! Whether you focus on helping your members broaden internal audit awareness within their organizations, or join forces with other chapters to spur a statewide promotion, you can make a difference on behalf of the profession. Not only will this enhance the public image of your chapter and how it serves the profession, but it also will fill your members with personal pride in their chosen career.

Plus, did you know your chapter can earn Chapter Achievement Program (CAP) points by organizing an Awareness Month campaign? Click here for more information.

The things you can do to build awareness are limited only by your chapter’s collective creativity and imagination. Start preparing now for this year’s International Internal Audit Awareness Month, and help raise awareness about our beloved profession. You can start by reviewing The IIA’s Building Awareness toolkit.
We encourage you to follow The IIA on Facebook www.facebook.com/TheInstituteofInternalAuditors and post photos of your chapter and individual Awareness Month activities. Also email your photos and let us know about your activities at PR@theiia.org. Have fun this May in promoting the profession. The more people you get involved, the more you can accomplish!


The IIA Launches American Center for Government Auditing

The IIA is pleased to announce the launch of the American Center for Government Auditing (ACGA): The Premier Resource for Auditors in the Public Sector. The ACGA provides public sector auditors with the critical resources needed to successfully navigate the ever-changing environment and stakeholder expectations faced by public sector audit professionals.

ACGA is a great recruitment and retention tool for Government Members. To help promote this new resource, The IIA will be providing a toolkit in the coming months on the Chapter leader website to help you promote ACGA locally.

Benefits of ACGA include:
  • Industry news including the monthly Government Auditor SmartBriefKnowledge Briefs, and a public sector blog devoted to sharing the perspectives of those who practice in the public sector niche.
  • Guidance, resources, and thought leadership including support for the standards (both the IPPF and GAGAS), stakeholder advocacy, The IIA COSO Resource Center, and other leading practices from the public sector.
  • Professional development including webinars (free to members), eLearning opportunities, and other training facilitated by experienced public sector auditors.
  • Networking including ACGA’s exclusive LinkedIn group, regional roundtables, and other peer-to-peer networking opportunities.
  • And much more.

We encourage all of our Chapters to share this information with their members! To learn more about the ACGA, please visit acga.theiia.org.


All in a Day’s Work

The IIA recently updated “All in a Day’s Work,” a downloadable PDF designed to help internal auditors explain what they do to friends, coworkers, and stakeholders. Click here to access this and other helpful tools for promoting the profession.

 


Certification Programs

Ceremony to Honor New Certifications

Dallas Chapter members who have completed their certification requirements (CIA, CCSA, CFSA, CGAP and CRMA) January 1 – February 28, 2014 will be honored at the April 3, 2014 meeting.  Honorees will be contacted via e-mail on how to register.

Certification News from the IIA

New Documentation Requirements for IIA Certifications Now in Effect

Individuals who plan to apply for any IIA certification program should take note of the new documentation requirements that became effective Jan.1, 2014.

The IIA must have the following documents on file prior to a candidate being granted “Approved” status and able to register or sit for IIA certification exams:

  • Proof of identification in the form of a copy of the candidate’s official passport, driver’s license, or national identity card. The identification must be current (not expired) and contain the candidate’s photograph.
  • Proof of education in the form of a copy of the degree(s) or transcripts.
  • A Character Reference Form completed and signed by an active IIA-certified individual, a current or prior supervisor, or the candidate’s current professor.

The documents must be transmitted to The IIA via the Document Upload Portal.
 
For complete details, process, instructions, and forms for each certification, please visit www.theiia.org/certification.

CPE Reporting and Inactive Grace Period:

Individuals possessing an IIA designation who failed to report sufficient CPE by the required deadline of Dec. 31, 2013 now have a status of Inactive−Grace Period for each designation for which they failed to report.

Individuals who earned the appropriate number of credits for their respective credential(s) during the period ending Dec. 31, 2013, but missed the reporting deadline, may now report their CPE and reinstate their Certified status. Individuals who DID NOT earn the appropriate number of credits by the end of 2013 can reinstate their Certified status provided they earn and report sufficient CPE by June 30, 2014.

Learn more about the steps necessary to earn and report CPE compliance for 2013, and reinstate credentials that may now be in the Inactive−Grace Period status.

More Choices for Exam Registration Extensions:

The IIA has expanded the registration extension options for certification candidates and now offers three options for candidates to consider when extending exam registrations. Those candidates who wish to extend their exam registration period may now choose a timeframe ranging from 30 to 90 days with varying fees:

  • 30-day extension: US $50 fee
  • 60-day extension: US $75 fee
  • 90-day extension: US $100 fee

Pricing adjustments have also been implemented to align the registration fees for all four IIA specialty certification exams (CCSA, CFSA, CGAP, and CRMA*). Member candidates seeking a specialty certification will now pay a registration fee of US $350 regardless of the specialty.  Learn more about fees, policies, and pricing options to obtain IIA certification.

New Edition of the Certification Candidate Handbook Now Available

There have been significant updates and enhancements to the certification process, ranging from the implementation of the three-part CIA exam structure to newly updated forms, to expanded eligibility and education requirements. The December 2013 edition of the Certification Candidate Handbook explains these changes and more.

The updated handbook is the go-to resource for anyone pursuing IIA certification. We recommend every certification candidate read the handbook, which covers the entire certification process from the application process to how to schedule an exam.

Download the new December 2013 Certification Candidate Handbook.

Certified Internal Auditor Educational Requirements:

With approval from the Global Board, the CIA educational requirements now have a provision that allows experienced internal audit practitioners around the globe not possessing a bachelor’s degree or its equivalent to pursue CIA certification.

Candidates may now become eligible for the CIA, subject to approval, who possess:

  1. Two years’ post-secondary education and five years’ verified experience in internal audit or its equivalent, OR
  2. Seven years’ verified experience in internal audit or its equivalent.

Individuals who meet the above prescribed criteria may now qualify to pursue CIA certification. This alternative provision opens the door to certification to those accomplished practitioners from around the globe who have had varied educational experiences, but possess the technical knowledge and expertise to obtain the designation.

For more information on CIA eligibility requirements, click here.

Eligibility Requirements for All Certification Programs:

The Board also updated the documentation requirements for candidates to move from an “Applied” to an “Approved” status in all certification programs. Effective Jan. 1, 2014, The IIA must receive and approve the following described candidate documents before a candidate may register for any certification exams.

  • Proof of Identification in the form of a copy of the candidate’s official passport or national identity card. These must indicate current status; expired documents will not be accepted. All documents must be scanned and uploaded through the Document Upload Portal in a manner that ensures the photo is clearly legible.
  • Applicants must indicate their highest level of education on the exam application. Proof of education in the form of a copy of the degree(s) or transcripts is required. These documents should be transmitted to The IIA via the Document Upload Portal.
    • NOTE: Full-time university students who are in their senior (final) year may enter the certification program and sit for exams before completing their education requirement upon approval. To be accepted into the certification program and ultimately achieve certification, they must:
      • Complete the Special Student/Professor application in CCMS.
      • Submit a University Student/Professor Registration form.
      • Complete the education requirement.
  • A Character Reference Form must be completed and signed by an active IIA-certified individual, a current or prior supervisor, or the candidate’s current professor and transmitted to The IIA via the Document Upload Portal.

Effective Jan. 1, 2014, a candidate must provide all three documents indicated above and receive acceptance to the certification program before they can register and sit for any exams. The complete process, instructions, and forms for each certification are available on The IIA’s website, www.theiia.org/certification.

Certification Designation Certificates

After completing the program requirements to earn your CIA, CCSA, CFSA, CGAP or CRMA designation, you will receive a confirmation e-mail with instructions for ordering a certificate through the CCMS.  There is no charge to obtain your certificate unless you choose to upgrade your shipping option.

Certification Designation Certificates

After completing the program requirements to earn your CIA, CCSA, CFSA, CGAP or CRMA designation, you will receive a confirmation e-mail with instructions for ordering a certificate through the CCMS.  There is no charge to obtain your certificate unless you choose to upgrade your shipping option.

CPE Requirements

Practicing CIAs are required to complete a total of 40 hours of acceptable CPE every year.  The IIA accepts CPE credits from several areas including seminar/conference attendance, passing the CIA exam, other certification examinations passed, self-study programs and participation as an officer or committee member in a professional industry organization related to internal auditing.  For more information and a full list of acceptable CPE hours, please see the CPE Requirements for CIAs on the IIA website.  For information regarding reporting, see the CPE Reporting Steps on the IIA website

CIA Review Course

The Dallas Chapter is not currently providing CIA review courses.  There are several on-line study tools available, including the IIA’s CIA Learning System and Gleim’s CIA Review materials.  CIA Model Exam Questions are also available through the IIA.  For more information regarding study materials, please see the CIA Exam Preparation Resources on the IIA website.


Membership News

Do you want to become an IIA member but have been putting it off?  When was the last time you renewed your IIA membership? There is no better time than now to become a member of the IIA!  During the month when you join or renew your IIA membership, you will be eligible to be entered into a drawing for a $50 gift card to a local restaurant!

** Winners will be announced during the monthly meetings; you do not need to be present to win**

But that’s not it! If you join the IIA or renew your membership and do not win at the monthly events, you will be entered into a drawing at the end of the Chapter year (May 2014) for a chance to win the iPad Mini!

February’s winners for the restaurant gift cards are:

Julie Burke (Celanese Corporation)

and

Valerie Smith (Parkland Health & Hospital System)


Welcome, New Members!

The Dallas IIA Chapter would like to extend a warm welcome to our new members who joined the Chapter in April 2014:

April 2014 New Members

Alex Anduss
Candiss Ainsworth
Christine Sanders
Donald Freddy Tuekam
Donta Malone
Elidia Suchomel
Jewel Berry
Joseph Starks

Julie Burke
Kay Kabinga
Kendra Rester
Samer  Alhomsi
Tyrone Henry
Valerie Smith
Yvette Heinrichson

Lauren Stene
Liz Payne
Mark Johnson
Mark Rounds
Mostafa Barri
Rex Stewart
Russell Perez


Dallas CPA Society’s Convergence 2014

The Dallas CPA Society
invites you to attend Convergence 2014, the 10th Anniversary Conference!

Thursday, May 8, 2014
8am – 5pm
InterContinental Dallas Hotel
15400 Dallas Parkway
Dallas, TX  75001

Please join us as we celebrate 10 years of this outstanding event,  
providing top-quality continuing education to North Texas 
accounting and financial industry professionals.

This year’s event will feature 36 sessions of leading-edge information 
presented by nationally-noted experts on topics related to 
taxation, auditing, accounting, business technology, NPOs 
and other relevant and engaging subjects.

For more details and the opportunity to take advantage of our 
Early Bird pricing, please use this link.


Discount for Business Continuity Plan Training

Enterprise risk management is of significant concern to organizations in both the private and not-for-profit sectors. Business Continuity Management addresses these concerns by providing a methodology for organizations to prepare for, and appropriately respond to, any type of critical incident to ensure the safety of their staff, their key business activities, and their relationships with stakeholders.

In Dallas, on April 28-30, the Institute for Business Continuity Training will present a comprehensive 3-day workshop providing detailed methodologies which will enable any size or type of organization to develop – or review - their own Business Continuity Plan. The course brochure is attached.

Participants receive the techniques and the tools they need to safeguard the interests of their organizations. On completion, they also receive our Diploma in Business Continuity Management, a CEU certificate for 24 contact hours, and are entitled to sit the exam for the Certified Continuity Manager (CCM) designation. This course is based on the new International Standard ISO 22301.

The normal course fee is $ 2,195. We would like to offer your members a $ 300 discount. If you believe this course might be of interest to them, please ask them to contact me directly to receive the discount. Thank you. 


Report Your Speaking and Writing

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 online form. If you have any questions, please contact Corinne Bryan at CAP@dallasiia.org.


Employment Opportunities

Progressive Waste Solutions  (3/4/14)

Status:  Full time, Employee
Relevant work experience:  2-5 years
Education Level:  Bachelors degree
Location:  Ft. Worth, TX
Job Category:  Accounting/Auditing
Career Level:  Experienced (non-manager)

About the Company:
Progressive Waste Solutions is North America's third largest full-service waste management company, providing non-hazardous solid waste collection and landfill disposal services to municipal, commercial, industrial and residential customers in 6 provinces and 11 U.S. states.

About the Job:
Reporting directly to the Vice President of Internal Audit, we are seeking an Internal Auditor to assist in our Sarbanes Oxley and other audit efforts.  You will be responsible for assisting in the enhancement of our current audit program, including the review and documentation of policies and guidelines, the identification of corporate and field level controls, and the continuation of the monitoring and testing of key controls by the Company.  In addition, you will be required to perform testing at various locations in the US and Canada.  While this position is based out of our corporate office in Fort Worth, TX the position does require 30% travel.

To be considered:

Candidates must have some experience in internal or external audit and a basic working knowledge of SOX requirements including:

  • Documenting significant processes and identifying key controls;
  • Performing audits focused on operational and financial controls;
  • Testing the effectiveness of internal controls;
  • Communicating, reporting and negotiating audit findings and recommendations to management;
  • Preparing internal audit reports for circulation to management and the audit committee;
  • Working with outside consultants, principally during location testing.
Other qualification requirements include:
  • BA/BBA in Accounting, Finance, Auditing, IT Auditing a plus
  • CPA and or graduate/masters degree desired or desire to pursue CPA/CIA/CISA/MBA
  • Excellent interpersonal and written communication skills
  • Solid PC skills
IESI offers a complete compensation package including:
  • Base Salary
  • Medical, dental, life and disability insurance.
  • 401(k) Plan with company match

To Apply:
Visit www.progressivewaste.com/en/company/careers/ to fill out an online application.

Email Kassandra Killion for any questions relating to this position. Kassandra.Killion@progressivewaste.com


Plano ISD  (2/18/14)

Plano Independent School District is looking forward to expanding the Internal Audit Department.  We currently have an open position for a Staff Auditor.   A position description can be located on the Plano ISD website (http://www.pisd.edu/employment/jobs/documents/StaffAuditor.pdf).   Interested applicants should send their resume and cover letter to pisdjobs@pisd.edu.


Baylor Scott & White Health  (2/12/14)

Baylor Scott & White Health
SENIOR AUDITOR POSITION

EDUCATION/EXPERIENCE
Required:
  • Bachelors Degree in Accounting or related field of study
  • At least 4 years Internal Audit experience
Preferred:
  • Health Care Industry experience
  • Supervisory / Project Lead experience
  • Consulting experience with a Big 4 Accounting firm or large corporation
Skills / Abilities
  • Ability to communicate effectively with individuals and groups at all organizational levels
  • Excellent planning, organization, analysis, writing and interpersonal skills
  • Able to work in a team-oriented environment
  • Well developed analytical / critical thinking skills
  • Proficient knowledge of accounting principles, auditing standards, internal control theory, fraud indicators and investigative techniques
  • Proven proficiency in risk-based audit approach and process
  • Proficient in utilizing technology and software applications
  • Proficient ability to identify and effectively resolve operational and administrative problems
  • Proven ability and willingness to motivate, develop, and evaluate staff
  • Ability to manage projects effectively
BASIC DUTIES
  • Serves as Project Lead in planning, organizing, and directing work to ensure the completion of assigned projects on time and within budget
  • Identifies potential risk exposures and evaluates the effectiveness of organizational policies and procedures and internal controls designed to mitigate risks
  • Assigns work program procedures and other audit tasks to auditors assisting on assigned projects
  • Serves as coach/mentor in the professional development of auditors
  • Evaluates the work of auditors upon completion of projects
  • Performs work program procedures and other audit tasks as required
  • Reviews and approves all work papers to ensure that work performed is complete, properly documented, and conclusions reached are adequately supported
  • Meets regularly with both Internal Audit and client management throughout projects to discuss project status and specific issues identified
  • Prepares audit reports and reviews them with both Internal Audit and client management
  • Performs other duties as requested
  • Positions in Dallas and Temple Texas
  • Requires approximately 20% travel

Contact Monica Frazer at monica.frazer@baylorhealth.edu if interested


Dallas ISD  (2/5/14)

Central Staff/Auditor

Location: Internal Audit
Date Closing: Until Filled

QUALIFICATIONS
  • Bachelor's Degree from an accredited university with a major in Accounting, CPA preferred
  • Four years of experience in auditing, accounting, business analysis, or program evaluation
  • Considerable knowledge in applying internal auditing and accounting principles and practices
  • Knowledge of the Standards for the Professional Practice of Internal Auditing and the Code of Ethics developed by the Institute of Internal Auditors
  • Knowledge of management information systems terminology, concepts and practices
  • Knowledge of industry program policies, procedures, regulations and laws
  • Skills in conducting quality control reviews of audit work products
  • Skills in collecting and analyzing complex data; evaluating information and systems, and drawing logical conclusions
  • Ability to communicate effectively in written and oral format
  • Proficient in MS Office Professional and business software
  • Knowledge of generally accepted IS audit standards; statements and practices, and IS security and control practices
BASIC FUNCTIONS
  • Identify and evaluate the organization's risk areas and provide key input to the development of the Annual Audit Plan
  • Perform audit procedures, including identifying and defining issues, developing criteria, reviewing and analyzing evidence, and documenting client processes and procedures
  • Conduct interviews, review documents, develop and administer surveys, compose summary memos and prepare working papers
  • Identify, develop and document audit issues and recommendations using independent judgment concerning areas being reviewed
  • Communicate or assist in communicating the results of audit and consulting projects via written reports and oral presentations to management and the Board of Trustees
  • Develop and maintain productive client and staff relationships through individual contacts and group organizations
  • Provide or assist in providing training, coaching and guidance to Internal Audit staff in conducting audits and other audit-related issues
  • Perform all other tasks and duties as assigned

Minimum
$56,877

Selected individuals for Dallas Independent School District positions will be placed according to compensation guidelines. A campus-based employee may not assume a new position for which he/she was selected based upon the posting process until the end of the current semester, unless approved by the chief officer – Human Capital Management.

A security check and disclosure of family relationship information is required for all positions.

No telephone calls please.

EQUAL OPPORTUNITY EMPLOYER M/F/H

For more info or to apply, contact VShurack@dallasisd.org.


Santander Consumer  (1/31/14)

Sr. Manager SOX Controls – Finance and Business Operations

Summary of Responsibilities:

The Santander Consumer USA (SCUSA) Internal Control Department is responsible, as designated by the SCUSA BoD Executive Operations Committee and Executive Management, for the development, implementation, execution, and administration of the SCUSA Sarbanes Oxley (SOX) Compliance program and its respective requirements under sections 302 and 404.

The Sr Manager of SOX Controls will be responsible for assisting the VP SOX Compliance  with the development, implementation, and execution of a US-based approach for Sarbanes Oxley Compliance that leverages and complements the existing SCUSA Internal Control Model (ICM) for assurance of controls related to financial reporting.

Essential Functions:

  • Assists the VP SOX Compliance in developing and implementing a SOX compliance program that utilizes a US-based approach but also leverages the existing Corporate Methodology from the Parent Company.
  • Performs the following activities and manage the personnel responsible for these activities when they are delegated:
    • Maintenance and preparation of clear, detailed and accurate SOX 404 documentation, including narratives, control descriptions, risk control matrices, test programs, test results, and management responses and remediation.
    • Preparation of SOX documentation relating to new acquisitions.
    • Maintenance of adequate documentation of SOX testing to ensure that documentation and testing is in accordance with test programs/control objectives, is appropriately cross-referenced and adheres with sample size requirements of internal SOX methodology.
    • Recommend improvements to controls and test programs to improve the overall control environment.
    • Follow-up to ensure that past recommendations have been implemented properly to correct deficiencies noted.
    • Manage the quarterly SOX certification process.
    • Update, map and test controls relating to the fraud risk assessment and test entity level controls.
    • Manage the SSAE 16 process as it relates to SOX.
    • Identify key spreadsheets for SOX end user controls testing and review test work performed.
    • Assist the VP SOX Compliance with preparing and updating the financial risk assessment document.
    • Review IT SOX controls to support the overall SOX compliance program.
    • Be closely involved with the Archer implementation to ensure the SOX compliance program is appropriately incorporated into the system.
    • Utilize sound judgment to identify and assess: risk, materiality, adequacy of audit evidence, compensating controls, and significance of findings.
  • Assists the VP SOX Compliance with diagnosing findings and drafting internal control reports and presentations to management.
  • Establishes and communicates timelines, requirements and issues with management in a professional and timely manner.
  • Represents team interests at internal meetings, working groups and external functions as needed, including coordinating &/or contributing to SCUSA reporting to external parties.
    Facilitates the direct development of direct reports assigned and ensure demonstrated progress of their knowledge, skills and ability.
  • Develops close but independent working relationships with all levels of management in all area of the business.
  • Responsible for oversight of all activities related to SOX SEC filings and SHUSA or Banco Santander needs around these filings.
Other Functions:
  • Special projects as requested
  • Performs other duties as assigned
Requirements:
  • Business or Accounting Degree and CPA required.
  • Big 4/public accounting and industry experience required.
  • Eight (8) to ten (10) years’ experience working in public accounting or Internal Audit or other risk or control related functions, preferably within a large commercial and/or investment bank or in a regulatory agency, with working knowledge of consumer and commercial banking and/or capital markets products.
  • Three (3) to five (5) or more years’ management experience.
  • Excellent understanding of Sarbanes Oxley Compliance and financial services regulatory requirements and current regulatory developments.
  • Have a working knowledge of IT SOX Controls.
  • Well-developed analytical and problem solving skills. Ability to request and/or collect relevant information, identify potential exposures/gaps, summarize conclusions, construct recommendations, present recommendations, collaborate on the design/testing/implementation of controls, and evaluate control results.
  • Experience in, and ability to, execute an enterprise-wide SOX program and effectively communicate and drive change.
  •  Excellent database skills with the ability to design, analyze and reconcile large data sets; ability to generate charts and tables using the correct level of detail; perform relevant trend analysis; create metrics and dashboards.
  • Ability to create high-impact presentations for all audiences (senior management, regulators, training, etc) including the ability to represent content concisely and through charts and graphics for enhanced visual impact.
  • Masterful competence of MS Office; Excel, PowerPoint and Word is essential.
  • Strong leadership/managerial skills.
  • Strong written and verbal communication skills with ability to foster a collaborative working relationship with multiple functional areas, operational areas, and complex business lines.
  • Proven ability to build networks quickly, influence others, and effectively address audiences of all levels.
  • Ability to work closely and build trust with senior management.
  •  Ability to maintain confidentiality.

Working Conditions:

  • Extended working hours may be required as dictated by management and business needs.
  • Travel to multiple facilities may be required.
  • May be required to lift, push, or pull materials weighing up to twenty (20) pounds.
  • May be required to sit and review information on a computer screen for long periods of time.
  • May require repetitive motions of the hands and wrist related to writing and typing at an electronic keyboard.
  •  Corporate / satellite office role.


Employer’s Rights:

This job description does not list all the duties of the job.  You may be asked by your supervisors or managers to perform other duties.  You will be evaluated in part based upon your performance of the tasks listed in this job description.

The employer has the right to revise this job description at any time.  This job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.


Sr. Manager SOX Controls – Information Technology

Summary of Responsibilities:

The Senior Manager, IT and SOX Controls is responsible for supporting the VP of SOX Compliance through the execution of Sarbanes Oxley activities, reviews, and consultancy activities conducted within SCUSA.  This role is envisaged to be the expert for SCUSA’s Internal Control Department with regards to information technology and information systems, specifically for control-related endeavors and areas.    With regards to IT Controls, the person filling this role will be responsible for supporting the VP of SOX Compliance through the effective administration, management, and execution of a comprehensive control-based program designed to contain controls related to SCUSA’s IT activities and environments.  This role is expected to be able to work independently, with minimal supervision, under the direction and in support of the VP of SOX Compliance.  This role is expected to contribute through a team structure to the team’s objectives as well as individually.

Essential Functions:
  • Assists the VP of SOX Compliance in developing and implementing an IT SOX compliance program that utilizes a US-based approach but also leverages the existing Corporate Methodology from the Parent Company.
  • Performs the following activities and manages the personnel responsible for these activities when they are delegated:
  • Maintenance and preparation of clear, detailed and accurate IT SOX 404 documentation, including narratives, control descriptions, risk control matrices, test programs, test results, and management responses and remediation.
    Preparation of IT SOX documentation relating to new acquisitions.
  • Maintenance of adequate documentation of IT SOX testing to ensure that documentation and testing is in accordance with test programs/control objectives, is appropriately cross-referenced and adheres with sample size requirements of internal SOX methodology. 
  • Recommend improvements to controls and test programs to improve the overall control environment.
  • Follow-up to ensure that past recommendations have been implemented properly to correct deficiencies noted.
  • Updates, maps and test controls relating to entity level controls.
  • Manages the SSAE 16 process as it relates to IT SOX.
  • Identifies key spreadsheets for IT SOX end user controls testing and reviews test work performed.
  • Is closely involved with the Archer implementation to ensure the IT SOX compliance program is appropriately incorporated into the system.
  • Utilizes sound judgment to identify and assess: risk, materiality, adequacy of audit evidence, compensating controls, and significance of findings.
  • Is responsible for following up on Internal Audit findings as they relate to IT controls and ensuring these findings are appropriately remediated.
  • Manages SOC reporting program. 
  • Assists the VP of SOX Compliance with diagnosing findings and drafting internal control reports and presentations to management.
  • Establishes and communicates timelines, requirements and issues with management in a professional and timely manner.
  • Represents team interests at internal meetings, working groups and external functions as needed, including coordinating &/or contributing to SCUSA reporting to external parties.
  • Facilitates the direct development of direct reports assigned and ensure demonstrated progress of their knowledge, skills and ability.
  • Develops close but independent working relationships with all levels of management in all area of the business.
  • Responsible for the oversight of all activities related to SOX SEC filings and SHUSA or Banco Santander needs around these filings as it relates to IT.
  • Develops integrated test plans for use in covering key areas of risk within SCUSA, and evaluating, through applicable standards, the adequacy and effectiveness of IT controls against key business risks.
  • Leads and participates in multiple assurance activities and critical business initiatives throughout the year.
  • Establishes and maintains key business relationships with internal client's leadership and the firm's external auditors resulting in maximum effectiveness.
  • Coaches multiple staff members to complete effective and timely audits.
  • Remains current with industry trends and emerging risks to update audit coverage as appropriate.

Requirements:

  • Bachelor’s degree required; advanced degree or professional certifications (CISA etc.) required.
  • Big 4/public accounting and industry experience required.
  • Eight (8) to Ten (10) years  experience working in public accounting or Internal Audit or other risk or control related functions, preferably within a large commercial and/or investment bank or in a regulatory agency, with working knowledge of consumer and commercial banking and/or capital markets products.
  • Three (3) to five (5) or more years of management experience.
  • Excellent understanding of Sarbanes Oxley Compliance and financial services requirements.
  • Well-developed analytical and problem solving skills. Ability to request and/or collect relevant information, identify potential exposures/gaps, summarize conclusions, construct recommendations, present recommendations, collaborate on the design/testing/implementation of controls, and evaluate control results.
  • Experience in, and ability to, execute an enterprise-wide IT SOX program and effectively communicate and drive change.
  • Excellent database skills with the ability to design, analyze and reconcile large data sets; ability to generate charts and tables using the correct level of detail; perform relevant trend analysis; create metrics and dashboards.
  • Ability to create high-impact presentations for all audiences (senior management, regulators, training, etc) including the ability to represent content concisely and through charts and graphics for enhanced visual impact.
  • Experience auditing, implementing, or operating general computer and application controls including security, change management, systems development, and disaster recovery. 
  • Experience working with distributed environments and mainframe environments (Windows, UNIX, and z/OS), relational database platforms (DB2, Oracle, Microsoft SQL, and et.al.), and web applications.
  • Experience developing computer assisted audit techniques (CAATs) and using data analysis software (IDEA, ACL, etc.).
  • Solid understanding of risk assessment, control analysis, and audit methodology with the ability to converse with management on these topics to develop the most effective audit approach and business-focused recommendations to strengthen controls.
  • Masterful competence of MS Office; Excel, PowerPoint and Word is essential.
  • Strong leadership/managerial skills.
  • Strong written and verbal communication skills with ability to foster a collaborative working relationship with multiple functional areas, operational areas, and complex business lines.
  • Proven ability to build networks quickly, influence others, and effectively address audiences of all levels.
  • Good proficiency in advanced PC applications (MS Access, SQL, IDEA, etc.)
  • Ability to work closely and build trust with senior management.
  • Ability to maintain confidentiality.
Other Functions:
  • Special projects as requested
  • Performs other duties as assigned
Working Conditions:
  • Extended working hours may be required as dictated by management and business needs.
  • Travel to multiple facilities may be required (10%).
  • May be required to lift, push, or pull materials weighing up to twenty (20) pounds.
  • May be required to sit and review information on a computer screen for long periods of time.
  • May require repetitive motions of the hands and wrist related to writing and typing at an electronic keyboard.
  • Corporate / satellite office role.
Employer’s Rights:

This job description does not list all the duties of the job.  You may be asked by your supervisors or managers to perform other duties.  You will be evaluated in part based upon your performance of the tasks listed in this job description.

The employer has the right to revise this job description at any time.  This job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.


SOX Control Analyst (2 Positions)

Summary of Responsibilities

The SOX Control Analyst is responsible for supporting the Manager of SOX Controls and the Director of Internal Controls in the execution of the SOX program and its related activities conducted within SCUSA.  This role will report directly to the Manager of SOX Controls.

Essential Functions:
  • Assists with assessing the adequacy of SOX internal controls and efficiencies in business processes.
  • Assists with documenting SOX process and control activities via narratives, matrices, and test scripts etc.
  • Audits and tests SOX controls to ensure that they are performed as required and is in accordance with test scripts/control objectives and within budgeted time allowed. Testing is adequately documented and cross-referenced and adheres with sample size requirements and internal SOX methodology.
  • Works with process owners to ensure SOX documentation is updated (as needed).
  • Assists with maintaining a library of SOX documentation including narratives, test scripts, and risk matrices.
  • Works directly with control and process owners to ensure understanding and knowledge of SOX processes and procedures.
  • Builds strong relationships with SOX control and process owner’s, IT SOX internal control team, internal audit, external auditors, internal control team and compliance department.
Requirements:
  • Bachelor's degree in accounting or other related discipline.
  • 3+ years of Sarbanes Oxley professional experience in a risk & control organization or public accounting firm.
  • Big 4/public accounting and industry experience.
  • Certification(s) such as CPA will be considered along with other certifications such as CIA, CSox, CCSA, CISA, CFE, CBA, et.al.
  • Strong analytical, technical and problem solving skills, with strong attention to detail
  • Strong and well developed verbal and written communication, collaboration, and time management skills.
  • Ability to adapt to various work environments, industries, and project schedules and to work effectively in a team environment with all levels of personnel.
  • Ability to travel up to 10%.
Working Conditions:
  • Extended working hours may be required as dictated by management and business needs.
  • Travel to multiple facilities may be required. 
  • May be required to lift, push, or pull materials weighing up to twenty (20) pounds.
  • May be required to sit and review information on a computer screen for long periods of time
  • May require repetitive motions of the hands and wrist related to writing and typing at an electronic keyboard
  • Corporate / satellite office role
Employer’s Rights:

This job description may not list all the duties of the job.  You may be asked by your supervisors or managers to perform other duties.  You will be evaluated in part based upon your performance of the tasks listed in this job description.

The employer has the right to revise this job description at any time.  This job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.


Apply to any of these position at https://www.santanderconsumerusa.com/about/careers


This page was last updated on Thursday, February 19, 2015 at 03:21 AM PST.

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