May 2009

The President’s Letter

Well Chapter, I hope everyone is full of knowledge and CPE credits right now. We offered 11 CPE credits in the span of less than a week, beginning with the Fraud Summit on March 27th and ending with the April Monthly Meeting. You should all be quite capable to attack fraud, execute some continuous auditing, and evaluate future business combinations within your companies.

We are taking just a slight breather, as our next big event will be the Rangers Baseball game on May 14th. This event will be in conjunction with the Fort Worth IIA Chapter and sponsored by Protiviti. The day will begin with a two hour meeting covering topics ranging from IFRS, FCPA and Audit Strategies for Operating in a Down Economy. Then, we will have lunch at the Legends of the Game Museum, followed by the game. We will finish off the year with our popular annual “Almost Free Seminar” in June. The team is currently finalizing this event; look for details in coming weeks.

In addition to providing great CPE opportunities, your leadership is also focused on helping out auditors looking for jobs or new opportunities in these tough times. During our April meeting, Fred Herman and Shakeya McDow held a session on Networking: Building Relationships and Branding. The session focused on the what, when, and how of networking, and was a complete success. Those that participated decided the group will meet on a periodic basis to discuss various topics. If you are interested in participating in the group, please reach out to Shakeya McDow at shakeya.mcdow@ey.com.

I want to congratulate the new leaders that have been elected to serve the chapter in the 2009 – 2010 year.

2009 – 2010 Officers:

President - Tom Keils, Builders FirstSource
1st Vice President - Marc Winandy, McKesson Corporation
2nd Vice President - Abe Paul, Michaels Store, Inc.
Treasurer - Brian Amend, AC Lordi Consulting
Secretary - Greg Estes, Texas Instruments

2009 – 2010 Board Members:

Al Bazis, Dallas Area Rapid Transit
Ray Clay, University of North Texas
Sherri Durst, 7-Eleven
Dennis McGuffie, Tenet Healthcare
Anna Nicodemus, A.H. Belo Corporation
Lori Rainwater, Southwest Airlines

Now a one, a two, and a three – “Take me out to the ball game, take me out to the crowd…”

Thanks,

Jay Blanchard
2008-2009 President - Dallas Chapter IIA

Next Meeting - Thursday, May 14, 2009
Rangers Ballpark in Arlington - Legends Museum

The business portion of this month’s event is structured as one meeting covering three important topics.
Meeting registration includes lunch in the Legends Museum and one ticket to the Rangers-Seattle baseball game.

Registration – 9:00 am
Meeting – 9:30 am to 11:30 am
Lunch – 11:30 am to 1:00 pm
“Play Ball” – Rangers Game begins at 1:05 pm

Dallas and Fort Worth IIA Joint Social Event
brought to you by

Meeting 9:30am - 11:30am
Registration begins at 9:00am

Part 1 - IFRS: Convergence, Beyond the Numbers
Steve Hobbs, Protiviti Managing Director and IFRS Lead

With a change in IFRS seeming increasingly likely, and with significant convergence and migration certain, more and more companies are looking for conversion roadmaps and solutions. Based on the experience of other countries, conversion is a significant endeavor and an early start can make a difference.

The objectives of this presentation include the following:

  • Understand the significant infrastructure impacts on people, process, technology and project management
  • Discover how other companies around the globe are proactively approaching the IFRS conversion and how to perform an initial diagnostic analysis
  • Understand the lessons learned from conversions in Europe and elsewhere
  • Understand the importance of the early establishment of a sound foundation with tone-at-the-top support and rigorous project management around IFRS
  • Learn the potential roles of internal audit in the conversion process

Steve Hobbs is a Managing Director in Protiviti’s San Francisco office and is currently responsible for Protiviti’s IFRS solution and Financial Remediation & Reporting Compliance practice in the west region.  In this role, Steve provides valuable oversight and advice to Protiviti clients, particularly Board of Directors and Senior Management.  Steve assists executive management and company finance leaders develop and implement processes to address changes and risks surfacing from financial accounting requirements. He has recently consulted with several company board and management teams regarding stock based compensation issues, IPO preparation, SEC investigations, acquisitions, revenue recognition issues, IFRS, financial restatements, and control rationalization efforts.  Steve has over 26 years of experience, including 23 years at Big 4 firms, and currently serves on the Board of Directors at two companies.


Part 2 - Corruption Risk and the Foreign Corrupt Practices Act (FCPA)
Pam Verick Stone, Protiviti Director and FCPA Lead

Corruption risk is often a hidden vulnerability for companies conducting business overseas – one that has significant strategic, financial and reputational consequences. Enforcement actions are on the rise, while settlements and fines continue to grow more frequent and costly.

The objectives of this presentation include the following:

  • Understand how the FCPA applies to public and private organizations
  • Hear a brief background of the Act and recent trends
  • Find out how to incorporate corruption scenarios into your fraud risk assessment
  • Hear how you can use electronic data analysis to monitor transactions regularly used to facilitate bribes and kick-backs
  • Compare your FCPA compliance audit program with leading internal audit and compliance practices

Pam Verick Stone is a Director in Protiviti’s Litigation, Restructuring and Investigative Services solution area, where she focuses on investigations and leads the Protiviti fraud risk management solution initiative.  Pam has 18 years of combined forensic and risk management experience, including development of anti-fraud programs and controls, fraud risk assessment, fraud and misconduct investigations, Sarbanes-Oxley assistance, and development of compliance and ethics programs for both the public and private sector.  Prior to joining Protiviti, Ms. Verick Stone was a Director in the Forensic practice of a Big 4 professional services firm, where she served as a global product champion for fraud and misconduct diagnostic services.  She received her undergraduate and graduate degrees from The American University in Washington, D.C.


Part 3 - Operating in a Down Economy –
Key Strategies and Opportunities for Internal Audit
Clint McPherson, Protiviti Managing Director and Internal Audit Lead

In this session, we will discuss key trends and focus points many companies are addressing as part of the downward economic cycle, and how internal audit can be a value-added resource during these challenging times.

Clint McPherson is a founding member of Protiviti and a Managing Director in Protiviti’s Dallas/Ft. Worth office, where he serves as co-leader of Protiviti’s local internal audit practice and as leader of Protiviti’s Sarbanes-Oxley practice for the south region.  Clint is also part of Protiviti’s internal quality assessment team responsible for coordinating internal audit practice peer reviews for other offices within the firm.  Clint has over 18 years of combined internal audit and risk management experience, including annual risk assessment and audit planning, business process, operations, and information technology assessments, Sarbanes-Oxley compliance programs, and executive management/board level communications.  Clint received his undergraduate degree from the University of Oklahoma and currently holds the CIA, CISA, PMP, and Lean Six Sigma Green Belt certifications.

2 Hours Continuing Education for all three parts


A 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 meeting.


This meeting is being held at Rangers Ballpark in Arlington – Legends Museum
1000 Ballpark Way, Arlington, TX 76011, 817-273-5222

Directions: http://texas.rangers.mlb.com/tex/ballpark/tex_ballpark_directions.jsp

Preferred Method:

Place and confirm your reservation via the web site at http://www.dallasiia.org/Reserve_0509.htm. Note: Registration this month is being handled by the Ft. Worth Chapter.  Our page has detailed instruction on Registration and Payment.

Contact:

Terry Hartzog at terry.hartzog@protiviti.com or 214-986-2480

Meeting / Luncheon Fees:

Dallas IIA: $40
Non-Members: $65

Reservations must be received by 5:00 PM on Friday, May 8, 2009.

Registration Cancellation:

Seminars

Annual "Almost Free" Seminar

Attention Dallas IIA members!  Register now for the annual Almost Free Seminar scheduled for June 4th at Cityplace.  The theme of this year’s seminar is what you need to know to be successful in a down economy.  In addition to timely audit topics, it is a fantastic way of obtaining a full day of CPE credits for the incredibly low price of $35!  The presentations and speakers for this event are:

  • Strategies to Mitigate Risk in the Current Economic Environment - Jeff Camiel and Randy Watterworth, Jefferson Wells
  • Audits Role During Mergers, Acquisitions & Bankruptcies - Muriel McFarling, Partner, Andrews Kurth, LLP
  • Fraud Testing in a Down Economy - Felix Lozano, Partner, Whitley Penn, LLP
  • Networking; Resume Building; How to Bring Value & Cost Reductions to Your Company at a Time When They Need It the Most  - Cynthia McConathy, SOX Compliance Director, Burlington Northern Santa Fe

Due to the popularity of this annual event along with the chapter’s subsidy, this seminar is only open to Dallas IIA members and payment is due upon registration.  If you do not pay online via PayPal, we must receive your check within 7 days of the event or your registration will be cancelled.  Seating is limited, so registration will be closed May 22nd or earlier if we reach 300 registrants.  Register now!

Details and Registration at http://dallasiia.org/09_AFS.htm

Chapter News

CIA Programs

Congratulations to our New CIA’s

Ceremony to Honor New CIA’s and CCSA’s

At the April 2, 2009 IIA Meeting, the Dallas Chapter honored 17 CIA’s, seven CCSA’s, and one CFSA who completed their examination requirements between October and December 2008.

Above: The new CIA recipients are recognized at the April 2, 2009 meeting.

Above: The new CCSA recipients are recognized at the April 2, 2009 meeting.

Next Ceremony?

CIA’s completing their examination requirements between January and March 2009 will receive their certificates in approximately May 2009.  Honorees will be recognized at either the May or August 2009 meeting, depending on when the certificates are received from the IIA.  Honorees will be contacted via email with more specific instructions.  Questions can be addressed to Toni Messer at tmesser@utdallas.edu

Frequently Asked Questions

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

A:  Contact the IIA certification department: Email at certification@theiia.org or call 407-937-1100.

Q:  How do I register for the exam?

A: http://www.theiia.org/certification/certified-internal-auditor/certification-candidate-management-systems/

Mark Your Calendars!   2009 CIA Review Course Schedule

NEW DATE!  The next CIA review course will be held September 25-28, 2009 and taught by Dr. Glen Sumners of LSU.  Courses will be held at The University of Texas at Dallas.  Registration will be announced in July 2009 for the September course.


Congratulations to the Dallas Research Committee!

The Dallas Research Committee’s research paper, entitled Awareness of SAS 70 Reports and its Application among Internal Auditors, has been awarded the 2009 Donald E. Ricketts Chapter Research Award.  This award will be presented at a luncheon during the International Conference.  The Dallas Research Committee consists of Joe Diaz, Dr. Mary Curtis, Marvin Reader, Ali Subhani, Renee Redmond, and Ganesh Ramaswamy.  Congratulations to the Dallas Research Committee – thanks for your contributions to our chapter!

The award winning paper can be found via the following link: Awareness of SAS 70 Reports and its Application among Internal Auditors.  Additional information related to this accomplishment is located at http://dallasiia.org/Research_Committee.htm.


Annual Member Survey

Please take a minute to complete the Annual Member Survey:

IIA Dallas Chapter :: 2009-2010 Member Survey


http://som.utdallas.edu/iaep Next Steps!

With the semester coming to an end, the IIA Student Chapter is busy planning for the fall by recruiting new members.  At the same time, we completed the fourth annual Fraud Summit at UTD, and now turn our attention to planning the next.  We want to thank everyone who attended; especially our sponsors who helped make this an even more exceptional event.  Our sponsors included: Auditmation Services, Weaver and Tidwell, Deloitte, Solomon Edwards and KBA.  During planning for next years Fraud Summit, we plan to continue to add concurrent sessions that provide for a variety of information and allow everyone to focus more on areas of individual interest.  Registration for the March 26, 2010 Fraud Summit will begin in the next few months.

This semester, the student chapter had the privilege of many well-respected companies conducting campus visits and speaking during the student chapter meetings.  We wish to thank Blockbuster, Weaver and Tidwell, BNSF, and Grant Thornton for sponsoring receptions and trusting our program in your recruiting needs.

Our biggest issue remains advocacy of the profession and educating students of the possible careers in internal audit.  Each Dallas IIA member can help with these advocacy efforts by talking to as many students throughout the year as possible, and educating them on the perspective careers that begin in internal audit.  We continue to need volunteers for mentorship to each of these Internal Audit students.
If you are interested in recruiting on campus or assisting the program in any way, please contact Mark Salamasick at 972-883-4729 or mark.salamasick@utdallas.edu.  We are always looking for additional site tours and always welcome sponsors for our Wednesday receptions.  There are a number of students still available for full time and internship opportunities, and a website is available with student resumes at www.utdallas.edu/orgs/iia. Contact Mark Salamasick for password access to the resumes.


 IIA Research Foundation

The IIA Research Foundation has issued two new fraud reports available for free download.

The first one is entitled Internal Audit Reporting Lines: Fraud Risk Decomposition, and Assessments of Fraud Risk.  The independence of the internal audit function of an organization has been the topic of a considerable amount of attention since the collapse of several large American organizations.  Passage of the U.S. Sarbanes Oxley Act of 2002 and associated stock exchange regulations gave the audit committee substantial oversight responsibility and authority over firms’ internal audit functions.  It is possible that these increases in audit committee power have created new independence and objectivity threats to internal auditors that have not previously been considered.  Based on these potential threats, this study examines the effects of internal audit reporting lines on the judgments and decisions of internal auditors.

The second report is entitled An Evaluation of Internal Auditor Responsibility for Fraud Detection.  This report summarizes the results of an international study of internal auditors’ perceived responsibility for fraud detection.  While internal audit standards prescribe professional responsibilities related to fraud, little is known about the extent that internal auditors perceive responsibility for fraud detection and the factors that affect their sense of responsibility.

Both of these reports can be downloaded free of charge from The IIA Web site at www.theiia.org/research/research-reports/chronological-listing-research-reports; however, a contribution is requested. 


Employment Committee Mission:
Assist Chapter Members to find employment

Career Opportunities

Are you currently in the job market, whether voluntarily or involuntarily? If so, let the Employment Committee help you. Send us your resume and we will include you in our resume database. We receive calls from recruiters and hiring managers for open positions and will forward your resume if there is a match. We get calls for a variety of positions, including staff to director levels, IT to finance specialization, and local to out-of-town positions.  All inquiries will be handled confidentially.  If you have any questions, give us a call or e-mail us.  We look forward to helping you.

Greg Dubis
Employment Committee Chairman
972-431-5946
gdubis@jcpenney.com


Standards Update!

Unless you attended Lori Rainwater’s CAST meeting at the October 2nd, 2008 meeting, you may not be aware that the IIA released a new and updated version of the International Standards for the Professional Practices.  In addition to five new standards, stronger verbiage was added to existing standards and interpretations have been added which incorporate components that were previously part of the Practice Advisories.  While these changes do not necessarily require significant effort to address, they certainly could constitute findings in an evaluation of compliance with the Standards – whether related to internal periodic review standards, or an external quality assessment review (QAR).  For a summary of the changes, please refer to the following:

Related to upcoming quality assessment efforts, the revised Standards may require an update to a number of quality assessment tools utilized to assess conformance with the Standards.  In conjunction with the revised Standards, the IIA has also updated its Quality Manual.  For information on the changes to the Quality Manual and how to obtain it along with the revised tools, you can visit the IIA’s website directly at http://www.theiia.org/guidance/quality/qa-manual-6th-edition/.


Calling Members!!

If you made a presentation to students, please report it to the Academic Relations Committee! academicrelations@dallasiia.org 


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 April. 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 May 31, 2009.  This will be your last opportunity to report activity for the 2008/09 Chapter Year!

Employment Opportunities


Essilor Of America, Inc.  (3/25/09)

ESSILOR OF AMERICA, INC.
SENIOR INTERNAL AUDITOR
JOB DESCRIPTION

Essilor is the global leading manufacturer of optical lenses and the market leader in progressive, high-index and anti-reflective coated lenses.  A pioneer in the development and production of ophthalmic lenses, Essilor employs more than 9,000 people throughout North America. Essilor manufactures optical lenses under the Varilux®, Crizal®, DEFINITY®Thin&Lite®, and other Essilor brand names. Essilor Laboratories of America (ELOA) is the largest, and most trusted, optical lab network in the U.S. and offers a wide choice of services and lens brands, including Essilor premium lenses, to eye care professionals across the nation.  Essilor of America, Inc. (Essilor) is a subsidiary of Paris-based Essilor International, S.A., a publicly held company traded on the Euronext Paris stock exchange (Reuters: ESSI.PA).

Title: Senior Internal Auditor Status: Full-Time permanent
Dept.: Finance Location: Dallas, TX
Reports To: Internal Audit Director Hours: 8:30 to 5:30

POSITION PURPOSE:
Perform internal audit and consulting engagements within a $1.6B foreign-owned manufacturer and distributor of eyeglass lenses.  The successful candidate will have strong technical knowledge of accounting and auditing as well as experience in creating audit programs and performing internal audit engagements independently.  Demonstrated ability to develop testing criteria based on audit objective; to consider business impact in the evaluation of test results; formulate practical recommendations is required.  Must be able to work independently and handle multiple projects simultaneously.

PRIMARY RESPONSIBILITIES:

  • Contribute to departmental efforts individually or as part of a team, in either a lead or support role. 
  • Perform audit, consulting and acquisition due diligence engagements.
  • Assist with the LSF self-evaluation program for the North American zone (French SOX). 
  • Create or execute audit programs and tests to address specific business functions and situations.
  • Apply internal audit methodology to evaluate financial and procedural controls in a variety of business environments.
  • Develop solutions, with operations personnel, to address internal control and operating deficiencies.
  • Communicate audit findings and prepare audit reports.
  • Participate, as part of a team, in Company-wide or Finance department projects or initiatives. 
  • Perform special projects as needed.
  • Perform administrative duties as required.

EDUCATION AND QUALIFICATIONS:

  • Bachelor’s degree with a course of study in Accounting or Auditing.
  • Three to seven years internal audit or public accounting experience required. 
  • Professional certification (CPA, CIA, CMA) or MBA are pluses.
  • Comfortable in an integrated audit environment, incorporating financial, operational and IS procedures.
  • Demonstrated understanding of internal controls and operational procedures in a growing, dynamic organization.
  • Ability to quickly develop conclusions from vast but incomplete data.
  • Excellent verbal and written communication skills.
  • Working knowledge of manufacturing and distribution operations.
  • Knowledge of financial due diligence procedures relative to acquisitions of small companies.
  • Knowledge of Sarbanes-Oxley or control self-assessment procedures,
  • Familiarity with IFRS, foreign company exposure and international auditing experience are pluses.
  • Proficiency in MS Office suite of applications.
  • Knowledge of Oracle, MS Access and Monarch are desirable.
  • Conversational ability in Spanish within a business setting is also a plus. 
  • Willingness to travel up to 40%.

Please e-mail resumes and contact information to Kendra Peters Ross at: kpeters-ross@essilorusa.com.


JCPenney  (3/25/09)

JCPenney is one of America’s leading retailers with revenues close to $20 billion and 155,000 associates. Our customers can shop with us in over 1,000 stores located throughout the United States and Puerto Rico, and through jcp.com, one of the most popular general merchandise Web sites on the Internet.  The company is executing its strategic plan to be the growth leader in the retail industry.

JCPenney is seeking an Audit Manager responsible for planning; executing and managing audits and investigations related to fraud to ensure the ethics and integrity of JCPenney are upheld.

Additional responsibilities include:

  • Directing and conducting special investigations related to ethics based on allegations, ethics hotline tips or as indicated through standard audits in the following circumstances: suspected misappropriation of Company funds or property, falsification of Company financial records, non-adherence to regulatory requirements, or other action by associates or outsiders that could be detrimental to the Company.
  • Performing on-going monitoring and continuing to improve, enhance or develop new methods to extract potential data anomalies.
  • Communicating summary audit or special investigation results to Senior Management and alerting management to unusual or high-risk situations requiring immediate action.
  • Continually building fraud awareness through Company communication vehicles, training or coaching.
  • Establishing and maintaining effective working relationships with Legal, Loss Prevention, HR and other respective areas to ensure proper coordination and communications of investigative issues including best practices, findings and results.
  • Staying abreast of current industry practices and emerging issues with industry experts with and continually seeking ways to enhance Company processes.
  • Identifying and recommending new and/or improved audit techniques and processes to expand and enhance Internal Audit Department effectiveness and fraud identification and mitigation.

Qualifications:

Bachelor’s degree required with concentration in Accounting or Finance preferred, Masters Degree a plus with 5+ years experience in forensic accounting, fraud investigations and internal auditing. CPA or CFE certification required.  Knowledge of investigative techniques and procedures, communication skills both written and verbal, strong analytical skills with sound independent decision making ability are required for success.

*This position will require approximately 10-15% travel.

Qualified and interested candidates can apply online at www.jcpenneycareers.com or send their resume to Ashley Weaver at amill105@jcpenney.com.


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

Purpose

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

Accountabilities

  • 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 partnerships
  • Assist in the developing and executing of corporate audit procedures, schedules, priorities and programs for achieving audit objectives and goals
  • 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

Pre-Requisites
Experience:

  • 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

Education:

  • Bachelor or Masters degree with an emphasis in accounting, information systems or finance.
  • CPA, CIA, CISA, CMA, MBA, and/or MS Finance preferred.

Skills: 

  • 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 corrective action;
  • 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 (approx. 40%);

Manager, IT Audit

Purpose

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.

Accountabilities

  • 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 responsibility.
  • 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 (estimated 30%)

Pre-Requisites
Education/Qualifications:

  • Bachelors or Masters degree in business, accounting, computer science and/or other appropriate academic major
  • CISA certification required, CPA or CIA preferred

Experience:

  • 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 audit plan
  • 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 perspective

Skills:

  • Strong interpersonal skills to successfully develop relationships among various groups, such as IT management, corporate management and external auditors
  • Excellent verbal, written, communication and presentation skills
  • Demonstrated team skills, initiative and drive for results
  • Takes accountability, ability to influence business partners and key stakeholders
  • 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

M/F/D/V


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 healthcare 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 qualifications:
  • 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 management
  • Strong work ethic, analytical thinking and organization skills
  • Ability to work in a fast paced, detail oriented environment
  • 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 functions.

  • 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 schedule
  • Act as Internal Audit representative on various cross-organizational projects
  • Perform special audits or projects as assigned
  • 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 smosley@uspi.com
or fax it to 972-692-8099


Comments, questions, suggestions?
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© Dallas Chapter Institute of Internal Auditors
P. O. Box 261747, Plano, TX 75026-1747

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