eNews - May 2010

The President’s Letter

Our May meeting will be my last as President of the Dallas Chapter of the IIA.  I want to thank each and every one of you for helping to make my tenure such an enjoyable experience.  I am pleased with the progress the Chapter has made and I am sure that it will continue to grow and be successful.

In conjunction with the Fort Worth Chapter of the IIA, our May 6th meeting will be held in the Texas Rangers Legends of the Game Museum at the Ballpark in Arlington.   This meeting will be sponsored by PricewaterhouseCoopers.  Three CPE sessions are planned from 2 to 5pm, followed by a buffet dinner.  The first session will cover “Sustainability and Climate Change” and will be presented by Liz Logan from PricewaterhouseCoopers.   Lauren Herrington from PricewaterhouseCoopers will present Session two, “The Foreign Corrupt Practices Act Combating Bribery and Corruption - A Case Study”.   Session three will be a panel discussion regarding “The Rise of Social Networking – Risks and Opportunities” and will be facilitated by Debbie McKibben, PricewaterhouseCoopers.   Please plan on joining us for the game at 7:05 pm against the Kansas City Royals.  I look forward to seeing all of you at the meeting.

We are continuing our sponsorship of five unemployed Dallas IIA members for the event at the Ballpark in Arlington.  However, due to the increased cost for this particular event, we will require a $25 fee to be paid by each approved registrant to cover the cost of the game.  In order to receive the discounted registration, you must meet the following criteria:

  • Be a member of the Dallas Chapter
  • Be actively looking for employment due to a job loss
  • Commit to volunteer at the meeting in an assigned capacity (check in table, name tag table, welcome committee, etc.)

In order to register for one of these five discounted slots, please send an email directly to reservations@dallasiia.orgRegistrations will be filled on a first come first serve basis and only upon confirmation from the Reservations Chair.

Our annual Almost Free Seminar will be held at the Cityplace Conference Center on June 3, 2010.  The Seminar will only cost $50 and will include up to 7 hours of CPE, training materials, continental breakfast, lunch, snacks, and beverages.  This all day seminar will cover topics related to High Impact Internal Audit Consulting.  The instructors will be Mark Salamasick – Director of Center for Internal Auditing, University of Texas at Dallas; David Williams – Director of IT Audit, JCPenney; and Shawn Irving – Southwest Airlines.  The seminar is limited to 250 participants so register early to guarantee your seat.

Thank you again for making my time as President of the Dallas Chapter of the IIA such a great experience.


Tom Keils
2009/10 President – Dallas Chapter IIA

Next Meeting - Thursday, May 6, 2010
Ranger Ballpark in Arlington

Joint meeting with the
Fort Worth IIA Chapter
Sponsored by PricewaterhouseCoopers

Please note:

  • No walk-ins will be accepted!
  • Due to the Rangers game time, each session is planned for one hour from 2:00 – 5:00 pm, with a buffet dinner afterward.  Ranger’s game time is 7:05 against the Kansas City Royals.  The meeting will be in the Texas Rangers Hall of Fame at the Ballpark in Arlington.
  • Parking is free for those arriving BEFORE 2:00pm.  Participants arriving later will have to pay for parking at their own expense.  Guests planning to attend the game only will have to pay for parking.

Session 1: 2:00pm - 3:00pm
Registration begins at 1:30pm

Sustainability & Climate Change
Liz Logan, PricewaterhouseCoopers

Objectives: Despite today’s economic challenges, companies are finding that sustainability and climate change initiatives are a differentiator and an opportunity in the marketplace.  These initiatives should no longer be viewed as simply an environmental issue, but one with strategic, compliance, operational, reputational and financial ramifications. This session will provide a forum for participants to discuss and share approaches to:

  • The current regulatory environment and increased focus on climate change and the corporations responsibility to its consumers and community;
  • Preparing for and responding to compliance matters associated with greenhouse gas emissions, both direct and in the supply chain; and
  • Internal audit's role in supporting the company's efforts

Liz Logan is a partner with over 20 years of experience consulting with companies on accounting, auditing, and compliance matters. She serves as the partner leading PwC's work in the United States as advisor and report writer to the Carbon Disclosure Project (CDP).  Liz is based in Houston and is part of a core team developing PwC's response to the emerging reporting and disclosure challenges facing our clients around carbon and related emissions.  She is primarily focused on assisting carbon intensive sectors, including airline, energy and utilities companies, as they respond to these challenges.  Liz is a member of the Greater Houston Partnership's Environmental Policy Advisory Committee.  She is a CPA and CISA.

1 Hour Continuing Education

Session 2: 3:00pm - 4:00pm

The Foreign Corrupt Practices Act
Combating Bribery and Corruption - A Case Study
Lauren Herrington, PricewaterhouseCoopers

Objectives:  As corporations continue to expand across the globe in a bid to capture maximum profit and growth, many underestimate the risk of illegal practices in the international marketplace, exposing them to bribery and corruption.  The increase in government enforcement of laws against corruption and imposition of stiffer penalties, especially in relation to the Foreign Corrupt Practices Act (FCPA), creates an environment where appropriately assessing corruption and bribery risk and implementing anti-corruption controls is imperative.  With the enforcement expansion, it is likely that companies' Board of Directors and Audit Committees will rely more heavily on the expertise of internal audit to understand the risks facing the company and the degree to which the controls in place mitigate the risks.  In addition to fines, corporations prosecuted for bribery and corruption are at risk for real and lasting damage to their corporate reputation, operations and profitability.

Using a recent FCPA enforcement case to guide the discussion, participants will address:

Recent FCPA enforcement trends;
Elements of an anti-corruption compliance program and expectations regarding minimum standards;
Internal Audit's role in effectively managing the risk of corruption and bribery.

M. Lauren Herrington is a Manager in PricewaterhouseCoopers' Forensic Services practice and has over 6 years of client service experience, specifically in the evaluation and implementation of compliance programs.  Lauren's experience includes assessing, providing recommendations for enhancing, and implementing controls for anti-corruption, anti-fraud, and enterprise-wide compliance programs.  In addition, Lauren has conducted anti-corruption due diligence on behalf of clients in connection with merger and acquisition opportunities and has investigated whistleblower allegations in relation to potential Foreign Corrupt Practices Act violations.  Lauren earned a Bachelor of Science in Accounting and a Master of Science in Finance from Texas A&M University.  Lauren is a CPA, CFF, and a member of the AICPA, TSCPA, and ACFE.

1 Hour Continuing Education

Session 3: 4:00 - 5:00

The Rise of Social Networking – Risks and Opportunities
Panel Discussion facilitated by Debbie McKibben, PricewaterhouseCoopers

Objectives: Social networking has become a transformational phenomenon for companies, introducing new ways to engage consumers and empowering both employees and stakeholders in the business.  However, with this new trend comes a variety of risks as well as opportunities.  As sites like LinkedIn, Twitter and Facebook become intertwined with business uses, professionals across functional areas need to consider the impact of social networking on the business.  At this session, an interactive panel of local companies will discuss how their organizations are navigating this grey area to foster more effective management.  Our discussion will also examine the following issues:

  • How are organizations using social networking as an opportunity to build networks, engage consumers in discussion, and learn about public sentiment with respect to their brand or products?
  • How are companies addressing the inherent risks, such as negative brand image, data loss, distribution of malware/viruses, and loss of company productivity?  Are these risks included as part of the company risk profile and the company audit plan?
  • How is social networking being addressed in company policy?
  • How do companies leverage internal networking sites to connect company employees and drive effective management?  Do they use social networking for hiring or recruitment? 

Debbie McKibben is a Partner in PricewaterhouseCoopers’ Internal Audit Services and has over 31 years of industry and client service experience.  Debbie has been responsible for leading a variety of business process improvement, enterprise wide risk management and internal control projects including development of compliance programs, Sarbanes-Oxley readiness, performance of regulatory risk and control assessments, facilitation of strategic risk sessions, and internal control evaluations for most financial and operational processes.  She has provided control related internal audit and consulting services to manufacturing, construction, consumer products, retail, hospitality, transportation, telecom, banking, high tech, higher education, media, healthcare, death care, and real estate industries.  Additionally, Debbie has experience leading company efforts in the resolution of matters with the U.S. Department of Labor as well as conducting forensic investigations.

Prior to joining PricewaterhouseCoopers, Debbie was Vice-President, Director of Corporate Audit for a billion-dollar organization in the hospitality industry.  Debbie’s success in this capacity was the result of incorporating the insight of executive, middle, and operating management to obtain the most benefit from the investment of audit resources.  Prior to this experience, Debbie spent six years in the banking industry.  Debbie earned a Bachelor of Science/Business Administration degree with an emphasis in Accounting from the University of Texas at Dallas.  Debbie is a CPA and is a member of the AICPA, the Texas Society of CPAs, and the Institute of Internal Auditors.

1 Hour Continuing Education

Online Registration Requirements

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

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

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

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

Registration: Place and confirm your reservation via the web site at http://www.dallasiia.org/Reserve_0510.htm.

The following are the current rates for our monthly meetings:

May 2015 Social Meeting Prices:

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

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

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

Meeting Location:

Rangers Ballpark in Arlington, Texas Rangers Hall of Fame,
1000 Ballpark Way, Arlington, TX 76011

View Larger Map

Preferred Method:

Place and confirm your reservation via the web site at http://www.dallasiia.org/Reserve_0510.htm.

Pamela Krakosky

May 2015 Social Meeting Prices:

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

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

Reservations & Payment must be received by 5:00 PM on Friday, April 30, 2010.

We Now Accept Credit Cards - Online Only

We accept most major Credit Cards

The IIA Dallas Chapter, in conjunction with PayPal, will now accept payment online for the monthly luncheons.  There is no change in the cost to you for the lunch.  We accept VISA, MasterCard, Discover, American Express, or eCheck.  Note that some corporate-issued cards are not accepted by PayPal.  This service is only available online at the time the reservation is made.  This can be used to pay for individual or group reservations.  Follow the instructions on our web site.    Any questions, contact the Registration Chair at reservations@dallasiia.org.

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

Chapter News

CIA Programs

Register Now!

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

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

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

The next ceremony to honor those members completing their examination requirements in January – June 2010 is tentatively planned for the August 5, 2010 meeting.  Those receiving their certificates will be contacted via email for instructions on how to register.

Check Out Our New Certifications Web Page

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

Frequently Asked Questions

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

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

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

Q:      How do I register for the exam?

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

The End and a New Beginning!

As the semester comes to an end, we would like to congratulate all the graduating students from UTD and the IAEP program.  We know your hard work and dedication to your studies and the profession will pay off.  With some students leaving, a new group will be joining us in the fall.  We are excited for the start of a new semester to begin after internships and some taking a three month break.

Our students were fortunate enough to be welcomed to Textron for a site visit in March.  Students from UTD were able to learn more about the various industries Textron operates in.  The day began with an overview about the company as a whole and then went into further detail regarding the internal audit department.  Students were able to gain a better understanding of the daily operations by asking questions throughout the visit.

For the spring semester, the student chapter had the privilege of having many great companies come out to the campus and speak to our members.  Many thanks are extended to SolomonEdwards Group, Grant Thornton, Weaver, and Textron for their support.

We also want to thank all the Fraud Summit sponsors and attendees for making the Fraud Summit extremely successful in many ways.  The reviews on the addition of the Thursday workshops were outstanding and we plan to keep this as part of the event going forward.  Everyone needs to read their copy of HealthSouth: Wagon to Disaster.  This event would not have been possible without our corporate sponsors of: AC Lordi Consulting, Audimation Services, Deloitte, Grant Thornton, PricewaterhouseCoopers, Solomon Edwards Group, Rapid Refill, Weaver, and Whitley Penn. Also, many thanks to the three professional associations who provide support for the event: the Dallas IIA, the North Texas ISACA, and the Dallas ACFE.  We are already planning next year’s event, so put March 24 – 25, 2011 on your calendar.  Based on the success of this year’s event, we will plan to adapt a similar format.

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.

All around the world, May is celebrated as International Internal Audit Awareness Month.  It’s vital that our profession’s stakeholders understand the value of internal auditing and the role we play in helping our organizations be effective, efficient, and ethical.  We should be promoting awareness of internal auditing throughout the year, but May is set aside as a special month when we can communicate simultaneously with a unified voice.  The Dallas Chapter encourages each of our members to participate in this important celebration to elevate the profession and to “talk it up” to audit customers, executive management, boards of directors, and local communities. We all play a role in telling the world about the value of internal audit and its importance to successful business practices.

The IIA's Global Internal Audit Survey
A Component Of The CBOK Study

Would you like to be a key player in helping to shape the internal audit profession? If so, this is your chance to take part in the most comprehensive global study of the profession since 2006.

Internal audit practitioners from around the world are invited to participate in The IIA’s Global Internal Audit Survey starting March 15, 2010. Survey results will:

  • Present you with insights on emerging issues and challenges facing our profession.
  • Help you identify new opportunities that add value to your organization.
  • Contribute to the development of new standards and guidance, and much more.

Don’t miss this opportunity to help shape the future of your profession. For more information, visit www.theiia.org/global-survey.

Membership Updates

May - Internal Audit Awareness Month

All around the world, May is celebrated as International Internal Audit Awareness Month.  It’s vital that our profession’s stakeholders understand the value of internal auditing and the role we play in helping our organizations be effective, efficient, and ethical.  We should be promoting awareness of internal auditing throughout the year, but May is set aside as a special month when we can communicate simultaneously with a unified voice.  The Dallas Chapter encourages each of our members to participate in this important celebration to elevate the profession and to “talk it up” to audit customers, executive management, boards of directors, and local communities. We all play a role in telling the world about the value of internal audit and its importance to successful business practices.

New Ways to Network

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


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

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

March 2010 New Members

Kristie Sillivent
Elizabeth Brown
Rinesh Patel
Paul Smith
Lauren Kennaugh
David Duree

Sherri Ballard
Patricia Epperly
Luz Grimaldos
Solomon Stein
Emily Affrica
Fred Coleman
Erin Graham
Kimberly Leighton
Charles Robson
Felica Smith
Roy Flagenheimer

New Membership Information Booth

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

Membership Questions and Chapter Volunteer Recruitment

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

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

IIA Research Foundation

The Research Foundation has recently issued a book entitled Best Practices: Evaluating the Corporate Culture.  Stakeholders want assurance that their organization will not be the next highly publicized failure.  To give them that assurance, we must identify the potential causes of such failures - weaknesses in the corporate culture. This book argues that evaluating the corporate culture is an internal audit best practice and gives practical examples of how this can be done.

Evaluating soft controls — tone at the top, the organization’s ethical climate, and management’s philosophy and operating style — and reporting weaknesses to those accountable is perhaps the greatest challenge internal auditors have ever faced.  Traditional auditors believe we cannot and should not try to do this because of the subjectivity involved.  Best practice audit departments like those featured in this book, however, have found ways to do so effectively.  Highlights of the book include:

The nature of soft controls and why internal auditors need to evaluate them.
Using surveys and interviews to evaluate soft controls within a specific area or process.
Using surveys and interviews to evaluate entity-level soft controls.
Using a combination of surveys, interviews, and workshops during audit projects and for entity-level reviews.
Guidelines for using each of the techniques.
Proven soft control evaluation tools from 21 organizations.

This book aims to give readers who have hesitated to evaluate soft controls because of the tremendous challenge involved what they need to get started.  And readers who are experienced in this realm will find something to help them do even better.

The book can be ordered online at http://www.theiia.org/bookstore/product/best-practices-evaluating-corporate-culture-1469.cfm..  (Item number 5012, IIA member price - $49, non member price - $59)

Report Your Speaking and Writing

It's time again for the survey to determine which IIA Dallas Chapter members have submitted articles or spoken since March 1, 2010. Each speaking engagement on internal auditing that a Dallas Chapter member completes will earn the Chapter 1 credit per CPD hour. Each full article, Roundtable article, Fraud Finding, etc. submitted that meets basic editorial guidelines will earn 5 credits. For each full article published 20 credits are earned. Each internal audit related article published in any other trade or professional journal that is authored by a chapter member is 5 credits.

To report your writing and speaking go to http://dallasiia.org/Speaking.htm and complete the provided form by April 30, 2010.


Annual Almost Free Seminar:
High Impact Internal Audit Consulting

Attendance is limited to Dallas Chapter members only!
Seminar size is limited to the first 250 paid registrants!

Date: June 3, 2010 (Thursday)
Time: 8:30 am – 4:30 pm; check in begins at 8:00 am
Location: Cityplace Conference Center
Cost: $50, will include up to 7 hours of CPE and training materials, continental breakfast, lunch, snacks, and beverages. Payment is due at time of registration. We recommend that you pay through PayPal to confirm your registration.
CPE Credits: 7 hours
Prerequisites: No prerequisite is required.
Experience Level: All levels
Objectives: • Learn the processes and practices of internal audit consulting engagements
• Understand the IIA’s professional practices in regards to internal audit consulting engagements
• Learn different approaches from leading companies
• Benchmark what other organizations are doing in the area of adding value through consulting internal audit engagements
• Learn how to overcome the challenges in performing consulting internal audit engagements
• Discover the risk assessment process to best select which consulting projects to undertake as part of your audit plan
Register: http://dallasiia.org/Seminar_Reserve_060310.htm
Overview: The one day course will include a wide range of topics, including the latest in internal audit consulting along with practical examples of consulting projects and approaches from some of the leading companies, including: Bank of America, Southwest Airlines, and JC Penney. Internal Auditors wishing to learn the latest in the IIA standards to perform internal audit consulting projects should attend this session.
Instructors: Mark Salamasick – Director of Center for Internal Auditing, UTD
David Williams – Director of IT Audit, JC Penney
Shawn Irving – Southwest Airlines

The presenters have extensive experience and knowledge regarding project management, consulting, internal audit consulting, and the most recent IIA standards regarding consulting engagements.
Deadline: CAPACITY IS LIMITED TO 250. REGISTER EARLY! Unless we reach capacity sooner, Friday May 28 is the last day to register.  Payment must be received to confirm your registration.
Cancellation: Refunds will not be granted after May 28, however, substitutions of other Dallas IIA members are permitted by notifying Pamela Krakosky (pkrakosky@verizon.net).

20th Annual Fraud Seminar
Association of Certified Fraud Examiners
Dallas & Ft. Worth Chapters
May 21, 2010 - Cityplace Conference Center
Details and Registration information

The IIA’s 2010 International Conference is being held in Atlanta Georgia, June 6 – 9.  The Institute of Internal Auditors International Conference is recognized as the premier global event for internal auditors to gather, network, and exchange information on the practice of internal auditing.  In addition to the 11 program tracks, the conference features two Virtual Tracks; one for Chief Audit Executives and the other for Financial Services Auditors.  Registration fees are scheduled to increase on April 1 so members should take advantage of early registration savings.  For more information please go to the conference website:  http://www.iia2010atl.org/.

Employment Opportunities

TaxEase  (4/12/10)

Career Opportunity in the Specialty Lending Industry
Growing Financial Services firm is seeking an internal auditor with minimal travel

TaxEase is currently looking for an experienced Internal Auditor. Our firm is a well capitalized private lending and investment company, with a large appetite to invest capital in residential and commercial tax lien related assets in several states. We are a rapidly growing company that is seeking a person who thrives and enjoys working in a small, growing entrepreneurial environment.

The tax lien division manages a portfolio of property tax liens in several states.  The division works with various taxing authorities, property owners, mortgage companies and title companies. It has a very large volume of small dollar tax liens, and has a variety of processes to collect those tax liens.

The tax loan division has a portfolio of property tax loans in Texas. The loans are made to property owners to pay their delinquent property taxes, and the company receives monthly payments from its borrowers.

Reporting administratively to the Chief Financial Officer and functionally to the Chairman in his informal role heading the audit committee, the Internal Auditor will

  • carry out verification activities
  • review the methodology and calculations to test the adequacy of reserves for losses
  • conduct analyses and evaluation of business processes and financial and operational activities of the various business units of TaxEase for compliance with internally established policies and procedures as well as externally mandated rules and regulations, and
  • make recommendations to reduce risks and increase operational efficiency.

The Internal Auditor will have direct involvement and interaction with all members of the organization including the Company’s independent public accounting firm and various auditors from banks/lenders to our company and perhaps outside regulatory authorities.

The Internal Auditor will have two broad areas of responsibility:

  1. Assessing the collectability of loans and investments (including REO), their validity (i.e. were they properly documented and recorded), their accuracy (i.e. are the amounts shown on our ledgers are accurate) and whether we are collecting all amounts that are legally and contractually due to us.
  2. Evaluating business controls and processes to determine weaknesses and recommend improvements, either in terms of internal control weaknesses or inefficiencies.

The Internal Auditor will also be responsible for the following:

  1. Perform a variety of portfolio analyses (stratifications, rankings, etc) to help identify problem areas, lost income or exposures.
  2. Work with third party vendors (realtors, appraisers, property inspectors, etc) to obtain real estate valuations on a sample basis.
  3. Testing existing internal controls, processes and procedures with the goal of documenting these controls and implementing new controls where controls may not exist or need to be strengthened with the end result of making the various processes more efficient and accurate.
  4. Develop value-added recommendations arising from audit findings and track implementation of action plans in collaboration with the unit managers.
  5. Provide expertise in various consulting projects and other special projects (conduct tests or investigations).
  6. Execute audit procedures and use audit tools and techniques.
  7. Assist the Company’s external auditors, where possible, in year end work.

Experience and Qualifications

  • 2-5+ years in finance or accounting with companies preparing GAAP financial statements.
  • 2 -5+ years of experience auditing and testing internal controls.
  • Experience in the loan servicing.
  • Experience in the specialty finance and/or real estate fields
  • Skilled in using audit tools (ACL, SAP, BW, Visio, Access and Excel).
  • Strong working knowledge of PC applications (Microsoft Office).
  • Experience with Sarbanes-Oxley audits or agreed upon procedure audits designed for internal control audits.
  • A strong understanding of business processes to identify controls deficiencies, process issues, and business problems and recommend potential solutions.

Personal Qualities

  • Credibility, ethical, full disclosure and clean financial history.
  • Conscientious about timeliness of assignments and quality of work product.
  • Exceptional analytical, problem solving, decision making and leadership skills
  • Character strength and tough-mindedness.
  • Ability to take ownership of issues and ensure timely resolution.
  • Ability to exercise independent judgment with a high degree of initiative and the ability to work productively under minimal supervision.
  • Possess exceptional written and verbal communication skills, including ability to articulate recommendations in a concise and timely manner.
  • Able to handle multiple tasks, prioritize and maintain control and order over same
  • Superior reporting and technical skills.
  • Strong interpersonal skills.
  • Team player. 

A University degree in accounting or finance is required.

Our company is based in North Dallas, near Beltline and the Dallas North Tollway.

A competitive compensation package will be offered, including salary, bonus and benefits. (medical, dental, FSA and 401K)

Working Environment
We dress casually and emphasize a cooperative approach to building our business. It is very important that the person selected “fits” into our environment, and can work effectively with our other team members. Candidates should enjoy a busy office environment and the opportunity to be involved in the growth of a rapidly expanding company.

Please include your compensation expectations with your resume and email to Careers@Taxease.com.

After an initial phone interview all candidates are required to complete both an employee application and background check release forms.

RealPage  (4/8/10)

Senior Internal Auditor

Location:             Carrollton, TX
Department:      Internal Audit

Under the direction of the Internal Audit Manager, the Senior Internal Auditor will assist in the completion of a risk-based audit plan for all activities of the company and perform activities supporting Sarbanes-Oxley compliance readiness. This position is located in Carrollton, Texas and limited travel may be required to perform audit duties.


  • Effectively monitor the performance of self and to ensure plans, schedules, and budgets are met.
  • Assist in the completion of tasks and projects as they related to the risk-based audit plan for all activities of the company, specifically for Sarbanes-Oxley compliance.
  • Work with control owners throughout the company on documentation that supports compliance with Sarbanes-Oxley regulatory requirements.
  • Perform tasks for completion of the Sarbanes-Oxley compliance program, including the testing of internal controls and the identification and communication of deficiencies.
  • Develop recommendations to improve the control environment.
  • Execute individual audit tasks in accordance with the audit plan and with the Standards for the Professional Practice of Internal Auditing of The Institute of Internal Auditors (IIA).
  • Properly document work papers, providing proper documentation of audit steps performed and evidence gathered.  Ensure audit issues are well defined and root causes are identified.
  • Develop and maintain relationships with personnel throughout the organization to ensure the understanding and acceptance of audit issues in connection with business risks and controls.
  • Assist in the evaluations of governance practices, among others to include authorizations, management reviews, policies and procedures, code of conduct, segregation of duties, system access rights, and compliance with accounting standards.
  • Assist in the development and rollout of related internal controls and financial policies and procedures.
  • Provide supporting information for reporting of results of internal audit activities and tracking of open audit issues.
  • Provide supporting information for audit reports, including action plans to achieve visible improvements to internal controls, risk management, and processes.
  • Stay current with the professional standards of internal auditing (e.g., legal and compliance requirements).


  • Bachelor’s degree in Accounting, Finance, Business or related degree.
  • Professional certification required; Certified Public Accountant (CPA) or Certified Internal Auditor (CIA).
  • Minimum 5+ years of external and/or internal audit experience
  • Previous working experience in Big 4 external audit environment
  • Experience with internal control requirements and processes; particularly in key management functions such as Sales, Operations, and Finance
  • Business acumen, cross-functional competence, interpersonal savvy, and strong analytical capabilities
  • Excellent oral and written English skills
  • Strong presentation and command skills
  • Courage to take unpopular stands if needed in difficult audit situations
  • Highly developed planning, time management, and organizational skills
  • Diversity skills to connect with people and management styles across different cultures
  • Flexibility to work in a growth environment
  • Ability to work overtime

Please submit all resumes  to jobs@realpage.com.

Safety-Kleen Systems, Inc.  (3/31/10)

Are you looking for a challenge? Does working for an industry leader with a tradition of environmental commitment and service excellence sound like the challenge you are seeking? Consider joining the talented professionals at Safety-Kleen Systems, Inc., where a commitment to excellence is deeply rooted in a strong sense of tradition.  Safety-Kleen Systems, Inc. entire business model has revolved around keeping North American businesses Green. Not only do we help them resolve their waste management needs, we help reduce their carbon footprint at the same time. That's how we MAKE GREEN WORK. ™

From our modest beginnings in the late 1950's, Safety-Kleen has grown into a world-class environmental service organization and market leader in industrial hazardous waste management, parts cleaning technology and oil re-refining. We generate more than U.S. $1 billion in annual revenue and our 4,200 employees continue to build on our history of innovation by developing new products and services to meet the changing needs of more than 330,000 customers across the United States, Puerto Rico, Canada and Mexico.

Safety-Kleen has an immediate opening for a Director of Internal Audit.

Job Description

Reporting to the Vice President, Internal Audit, the Director of Internal Audit is responsible for driving projects assigned by the Vice President Internal Audit, to completion.  Serves in a leadership capacity and oversees a small but powerful team of auditors.

Responsibilities include: driving control risk assessments, executing the annual work program plan, managing staff and consulting resources to conduct projects, working closely with management of the audited areas to help bring about positive change, communicating with senior management on status of efforts and key risks.  Prepares and reviews work papers to document work procedures and work conclusions, performs follow-up reviews to verify that necessary corrective actions have been successfully implemented.  Responsible for employee training and scheduling projects.

  • Supervise Managers and Senior Auditors, including assistance in developing audit procedures and techniques to effectively perform timely audits

  • Encourage new ideas and ways to use current technologies and procedures

  • Review and provide feedback on work programs, reports, and work papers prepared by Managers and Senior Auditors

  • Manage resource allocation for the department

  • Lead  and train teams on projects, while partnering with senior management and business owners to identify and test controls

  • Participate in frequent communication with customers to develop relationship building

  • Develop career path for staff and prepare them for Company leadership positions

  • Foster a high integrity atmosphere, treating all associates with respect, keeping confidences, and ensuring that diversity is accepted and facilitated within the department

  • Stay informed of current industry best practices and learn to apply new techniques

Experience and Skills:

  • Bachelor’s Degree with Business major (i.e., Finance, Accounting)

  • CPA certification required; M.B.A and/or C.I.A. are significant pluses

  • Minimum 10+ years of combined audit experience working within a regional or national public accounting firm and a Fortune 1,000 public company

  • Minimum 7+ years of successfully managing subordinates

  • Strong familiarity with GAAP, GAAS and/or IIA Standards

  • Three plus years of direct experience with Sarbanes-Oxley Section 404

  • Broad operational, finance, information technology and compliance experience

  • Ability to consistently meet deadlines in a challenging and dynamic environment; self-directed and ability to work independently

  • Excellent oral, written and presentation skills

  • Excellent organizational, analytical, project management and follow-up skills

  • Strong interpersonal skills; ability to interact effectively with all levels of the organization

  • Lead staff, including motivation and development

  • Develop staff audit and accounting expertise

  • Successfully delegate responsibilities and decision-making

  • Ability to travel at times with short notice, up to 30%

Safety-Kleen offers great job training and career growth opportunities. We offer a competitive pay rate and benefits package that includes medical, dental and vision insurance; prescription drug coverage, flexible spending accounts, disability benefits, life insurance, retirement savings plan, confidential employee assistance program; company-paid sick time, holidays and vacation time.

Safety-Kleen Systems, Inc. is an Equal Opportunity Employer. M/F/D/V encouraged to apply. Employment is contingent upon a successful background check and drug screen. Some positions also require a pre-hire medical exam.  Must meet all work eligibility requirements. Environmentally-responsible business.

American National Bank of Texas  (3/24/10)

Senior Internal Audit Manager

Job Description
Maintains overall responsibility for the internal audit functions, including audits conducted in-house as well as those completed by the outsourced internal audit firm.  Directs and conducts audits to assess effectiveness of internal controls; verify compliance with Bank policies and procedures; verify compliance with applicable laws, rules and regulations; verify accuracy of accounting practices, reporting systems, and financial records, recommending corrective measures consistent with Bank goals and objectives; and verify I/T General Computer Controls.

Requires five (5+) years experience in public accounting and/or audit, preferably in a banking institution. 
Experience auditing various software systems and evaluating the effectiveness of network security controls. Prefer project management experience.  Ability to use a computer and applicable software;  strong understanding of the financial institutions industry, its practices, procedures, laws and regulations; Knowledge of accounting principles and auditing standards and techniques; Ability to work with all levels of personnel and management; Ability to communicate audit results orally and in writing; Well rounded knowledge of contemporary management principles; Ability to analyze, interpret, and communicate complex information and instructions.

Bachelor’s degree in business administration, accounting, finance or business related area; Professional certification preferred; CPA, CIA, CISA, CBA or comparable certification.

Qualified candidates may apply online at www.anbtx.com

The American National Bank of Texas is an Equal Opportunity and Affirmative Action Employer, M/F/D/V
The American National Bank of Texas · 102 W. Moore, Terrell, TX 75160
Telephone: (972) 563-2611

Ensco International  (3/4/10)

Position: Auditor I
Location: Dallas Texas 75201
Job Type: Full-Time
Company Site: www.enscointernational.com

Job Summary

Under direct supervision, participates in standard operational and financial audit processes, plans and programs. Will assist Internal Audit management in preparing various audit reports, performing follow-up procedures on outstanding agreed upon recommendations and communicating internal control and corporate governance concepts throughout the organization.


Minimum of zero to three years experience in an internal and/or external auditing role.

Education and Training

Bachelor’s degree from an accredited college or university, majoring in Finance, Accounting, Business Administration, Economics or related subjects; relevant work experience may be substituted for education.

Minimum Requirements

  • Partial (50%) professional certification (CPA, CIA or CISA) preferred.
  • Effective verbal, written and presentation communication skills.
  • Models and acts as an example demonstrating company values and high ethical standards, ensuring complete objectivity and impartiality.
  • Demonstrates proficiency with MS Office software, including but not limited to, Word, Excel, PowerPoint, Project and Access; beginner knowledge of CAAT applications.
  • Must be willing to travel both domestically and internationally as and when required, in support of job responsibilities.

Principal Duties and Responsibilities

  • Participates in numerous internal audits of low risk areas and executes assigned audit steps in a professional and timely manner, ensuring all agreed recommendations are subsequently implemented through documented follow-up procedures.
  • Collects and analyzes data to detect deficient controls, duplicated efforts, extravagance, fraud or non-compliance with laws, regulations and management policies and procedures.
  • Demonstrates verbal and written communication skills resulting in effective communications with peers and management including routine audit documentation.
  • Demonstrates basic knowledge of GAAP, COSO, SOX, FCPA and risk assessment principles, practices and trends.
  • Contributes to the issuance of agreed upon audit reports and recommendations to management

Ensco International Incorporated is an Equal Opportunity Employer, M/F/D/V
All candidate must apply via our company website www.enscointernational.com

JPMorgan Chase & Co.  (1/18/10)

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

Job Description

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

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


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


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

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

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

If you would like your employment opportunities to appear in this space or in the newsletter, eNews, please contact Brent Lapeze at advertising@dallasiia.org.

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

For problems or comments concerning this information,
please contact the webmaster@dallasiia.org

© 1998-2015 Dallas Chapter Institute of Internal Auditors
P. O. Box 261747, Plano, TX 75026-1747

Follow us on LinkedInFollow us on FacebookFollow us on Twitter
Social Media Policy


The Institute of
Internal Auditors

Fort Worth Chapter
of the IIA

UT Dallas
School of Management
Internal Auditing
Education Partnership

UTD Students Chapter

IT Audit Forum

Audit Net

North Texas Chapter

Information Systems Audit
and Control Association

Dallas Chapter

Association of
Certified Fraud

American Institute of
Certified Public Accountants

Dallas Chapter

Texas Society of CPA's

Dallas Chapter

Association of
Government Accountants