eNews - May 2014

The President’s Message

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

Wednesday, May 21, 2014

May Social: Celebrating
Internal Audit Awareness
with Ft Worth IIA

Sponsored by

Schedule:
Session 1: 9:30 – 10:30 am
Session 2: 10:45 - 11:45 am
Lunch: 12:00 to 1:00 pm
Baseball Game start at 1:05 pm

Financial Reporting and Audit Task Force (“FRAT Force”)
Susana Franco, Director Forensic and Valuation Services, Grant Thornton, LLP
Greg Shanabrook, Manager Forensic and Valuation Services, Grant Thornton, LLP
Arnold Spencer, Partner, Akin Gump Strauss Hauer & Feld LLP

Summary and Objectives: This training will provide an overview of the emerging developments and trends in enforcement and examinations at the U.S. Securities and Exchange Commission in relation to financial statement fraud.  The SEC continues to broadcast their renewed commitment to the investigation and enforcement actions in the area of accounting and financial disclosure fraud.  Traditionally, enforcement actions in this area have been the hallmark of the SEC but have decreased as a proportion of investigations in recent years.

Responding to public criticism, the SEC has launched several new initiatives including the Financial Reporting and Audit Task Force (FRAT) and a ‘transformational’ overhaul of their technology and risk scoring at their Center for Risk and Quantitative Analytics (CRQA). This training will provide an overview of the emerging developments and trends in the SEC enforcement and examinations specifically the event leading up to the formation of the FRAT Force and recent developments and actions taken.

Based on our experience in the marketplace, Grant Thornton and Akin Gump will provide attendees with:

  • Understanding of these new SEC initiatives,
  • Ability to identify and discuss examples red flags and common “problem areas” of financial statements facing higher SEC scrutiny, and
  • Discussion of pro-active actions that can be taken by to stay off the SEC’s radar.

No prerequisites required.

Susana Franco, MBA, CFE, CAMS has over 12 years experience in the field of Forensic Accounting consulting, she joined Grant Thornton in September 2006 after spending over 4 years with a Big Four accounting firm.  Her experience includes accounting and employee fraud and misconduct investigations, accounting analysis to support expert testimony on damages, Foreign Corrupt Practices Act investigations, money laundering investigations, and Anti‑Money Laundering Compliance monitoring engagements. In addition, her work with employee fraud and misconduct has given her an opportunity to work and travel abroad while assisting companies with investigations of their international subsidiaries.

Greg Shanabrook, CPA, CFE is part of Grant Thornton’s Forensic and Valuation Services practice with over six years of experience across the fields of fraud investigation, forensic accounting and audit in both the United States and Australia. Greg has been a lead investigator for numerous engagements across multiple jurisdictions including fraud, corruption and asset tracing. Through roles in both external and internal audit, Greg has gained experience across fraud identification, investigation and prevention, business control and risk assessment in environments ranging from small family enterprises to large international corporations. Currently Greg oversees a diverse portfolio of work in complex financial matters related to civil and criminal proceedings, investigations, matrimonial and shareholder disputes.

Arnold Spencer, J.D. a former First Assistant and Chief of the Criminal Division of the U.S. Attorney's Office for the Eastern District of Texas, is a partner in the white collar practice in the firm’s Dallas office. He concentrates his practice on investigations and criminal prosecutions involving fraud and corruption. Mr. Spencer is a trial lawyer. He has prosecuted and defended more than twenty-five trials in federal and state courts. Mr. Spencer has successfully defended companies and executives accused of fraud, financial mismanagement and corruption and has also counseled and defended companies in matters involving the Foreign Corrupt Practice Act and anti-money laundering allegations.

1 Hour Continuing Professional Education.


Session II 10:30am - 11:30am

Grant Thornton’s 2014 Chief Audit Executive Survey Results
Priya Sarjoo, Managing Director – Business Advisory Services, Grant Thornton, LLP

Summaty & Objectives:  Grant Thornton's fourth annual survey of more than 400 Chief Audit Executives from U.S. organizations finds that they are facing the realities of a greater compliance burden. In this presentation, hear how savvy CAEs bring value to their organizations in the face of increasing regulatory demands on their time and resources.

In this year's survey, we asked respondents a number of questions aimed at gathering important information on how they feel about various tactics to leverage existing resources. This presentation highlights ways to maximize internal audit efficiency through the right mix of tools and strategy for your organization.

Learning objectives:

  • Assess opportunities your organization has to leverage existing resources, such as technology and data analytics, to create value for the business.
  • Identify best practices for streamlining controls testing across multiple compliance requirements.
  • Discuss how to build and adhere to a solid internal audit approach around third party risk.
  • Identify opportunities to upgrade staff skills.

No prerequisites required.

Priya Sarjoo, CIA leads Grant Thornton’s Governance, Risk and Compliance Solution in the Central Region.  She has more than 18 years of experience in accounting, internal controls and business process improvement within a variety of industries including financial services, manufacturing, distribution, consumer and industrial products, government, not-for-profit, and hospitality. Priya has helped her clients with improving operational efficiencies, enhancing monitoring mechanisms, streamlining management reporting systems, developing and implementing internal audit functions and processes and evaluating internal controls environments.   Priya has also worked with clients to help improve usage of their information technology business systems.  She has identified inefficiencies and gaps in client processes and helped design processes which improved client use of existing technology.  She has also provided risk management and internal audit services including risk assessments, audit scoping, audit plan development, audit executing and reporting, to companies in a variety of industries. 

1 Hour Continuing Professional Education.


Seattle Mariners vs. Texas Rangers - 1:05 PM


Image property of zimbio.com and MLB


Meeting Location

Globe Life Park in Arlington
1000 Ballpark Way, Arlington, Texas 76011

Printable directions


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, May 16, 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

Attention all Chapter Members - Officer/BOG Election on May 21st!

As part of our annual process, the Dallas IIA is conducting an election on May 21, 2014 for Chapter officer and Board of Governor (BOG) slots. Each officer elected will serve a one-year term and each BOG will serve a three year term starting June 1, 2014. All qualified candidates have committed to serve if elected.

The Board of Governors and its Nominations and Elections Committee believe the skills, qualities, attributes and experience of the nominees provide the Chapter with a diverse range of perspectives to engage each other and chapter leadership to effectively address the Chapter’s evolving needs and best interests. If you are an active chapter member, it is important that you exercise your right to vote and select the individuals that you feel would best serve the Chapter.

Listed below are the Officer and BOG nominees:

Officers
  • President – Joseph Mauriello from BDO
  • 1st Vice President – Chris Mowery from Eagle Materials
  • 2nd Vice President – Mandi Church from DART
  • Treasurer – Teresa Lin from Grant Thornton
  • Secretary – LaToya Duncan from Dex Media
Board of Governors:
  • Brian Amend from UHY
  • Corinne Bryan from Chase Paymentech Solution
  • Katherine Findlay from Southwest Airlines
  • Tom Keils from Builders FirstSource, Inc.
  • David Price from CEC Entertainment
  • Manny Rosenfeld from MoneyGram
  • Vickie Tesmer from American Heart
  • Marc Winandy from Overhead Door Corporation

We have created a Voting Guide, which provides helpful information regarding each nominee.  Please review this information prior to the election so that you can make an educated decision.

Also study the Election Procedures so that you will understand the process by which this election is governed.

Each active member attending the election at the May 21st monthly meeting will be issued one ballot.  An alternative voting method will be allowed for those who can’t attend that meeting and wish to vote absentee.  Stay tuned for more information regarding absentee voting.

If you have a question regarding the election process please send an email to Greg Estes, Nominations/Elections Committee Chair at gestes@fossil.com.   If you have a complaint, please send an email to Abe Paul, Appeals/Complaints Sub Committee Chair, at abe.paul@kcc.com.


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 encourage all of our members to read the policy and become familiar with it! - Social Media Policy

Don’t forget: the month of May is Internal Audit Awareness month! Join us in raising awareness and advocate the profession at you company or firm today!


News from UT Dallas

http://som.utdallas.edu/iaepNews from UT Dallas
The UT Dallas Center for Internal Auditing along recently hosted the 9th Annual Fraud Summit.  The event was a huge success and drew in a largest attendance than all previous conferences with 280 at the workshops and 630 at the conference.  This year’s conference featured many new elements, such as the beautiful ATEC lecture hall, the mobile app to replace paper binders, and the choice of 24 different breakout sessions.  Here are some conference fun facts:

Water bottles used: 2,600
Lunch venues: 4
Federal prosecutors questioning Sam Antar: 5
Student volunteers: 50
Bags of M&M’s consumed: 210
Sponsors: 9
 
Thank you to all who attended the Summit.  Proceeds from the event go to support over 30 scholarships for internal audit the students, the endowment for the internal audit program, the ongoing costs for the center along with the IIA/ISACA/ACFE student organization at UT Dallas.  Plans for next year’s Summit are underway, so mark your calendars for March 26th and 27th, 2015.  We plan to make it even more special with 2015 being the 10th Annual Fraud Conference.

In addition to the Fraud Summit, the student chapter is busy with other events. Crowe Horwath, DTCC, Grant Thornton, and Kimberly-Clark will host April meetings.  Students are also going on a site visit to Dr. Pepper/Snapple for a site visit during April.

If you are interested in recruiting our talented students, please contact Mark Salamasick at mark.salamasick@utdallas.edu.  We have many new students who are joining the chapter and getting ready to start careers in internal audit.


IIA Research Foundation

The Research Foundation has issued the report entitled Contrasting GRC and ERM: Perceptions and Practices Among Internal Auditors.  Governance, risk, and control (GRC) and enterprise risk management (ERM) are two topics frequently discussed within the business community.  This research study explores the perceptions about the meanings of GRC and ERM and internal audit’s involvement.  The findings provide insight into strategic steps for the internal audit profession as a whole, plus useful perspectives for practitioners.

Researchers used The IIA’s extensive network of internal audit contacts around the world to conduct a survey involving 23 countries.  Many of the results were interpreted through follow-up interviews with internal audit experts in the field of GRC.  Finally, the researchers conducted a review of current publications about GRC and ERM to describe current thinking on the topic.

Key findings include:

  • While most internal auditors describe ERM as a component of GRC (60%), a significant proportion had the opposite viewpoint—that GRC was a component of ERM (24%).
  • Approximately four out of 10 respondents described ERM (39%) or GRC (44%) in their organizations as ad hoc or preliminary.
  • Significant percentages of respondents indicated that their internal audit functions did not conduct assessments of governance (25%) or ERM (34%).
  • Seventy-seven percent of respondents indicated that their organizations have a process for establishing risk tolerance levels, whether formal or informal.
  • Approximately two-thirds (63%) of respondents used a top-down, risk-based approach for internal audit planning compared to one-third (33%) who used a risk-ranked units, bottom-up approach.
  • For many questions in the survey, respondents gave almost identical answers for GRC and ERM, suggesting a lack of differentiation between the concepts.

In conclusion, this report provides a snapshot of internal audit’s expanding roles in risk, ERM, and governance.  To meet existing and future challenges, the internal audit profession would benefit by clarifying the concepts and language relative to GRC and ERM.

The book can be ordered online at: http://www.theiia.org/bookstore/product/contrasting-grc-and-erm-perceptions-and-practices-among-internal-auditors-download-pdf-1751.cfm   The item is free as a download to IIA members (Item number 5027.dl, non-member price - $25).


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

As an internal audit professional, you play an important role in raising awareness and elevating the profession. Whether you are an active IIA member or new to internal auditing, there’s something you can do to raise awareness.

For example, you can customize your email signature and social media accounts with the International Internal Audit Awareness Month digital icon (depicted at right). You can hold a lunch-and-learn in your workplace to dispel myths about internal auditing and explain the value that a well-resourced, independent internal audit function can provide. You can also distribute sweet treats or tokens to coworkers with an educational flier about the profession.

Don’t let the opportunity pass to advocate the importance of internal auditing to your coworkers and other stakeholders. For additional ideas, sample programs, tips, and templates, download the free Building Awareness Toolkit from The IIA’s website.


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

The Dallas Chapter honored the Chapter members in attendance that had completed their certification requirements (CIA, CCSA, CFSA, CGAP and CRMA) during the period of January 1 – February 28, 2014 at the April 3 meeting. 


Jenna Machart (shown on left with Shakeya McDow)was recognized for achieving her certification in Control Self-Assessment. In total, 11 members received CIA certification, one member received certification in Control Self-Assessment and one member received certification in Risk Management Assurance.

Certification News from the IIA

IIA Announces Application Fee Waiver for CFSA Program

For a limited time, April 1‒30, 2014, The IIA will waive the application fee (up to a US $200 value) for the Certified Financial Services Auditor® (CFSA®) designation.*

To those interested in advancing in this competitive niche and communicating a breadth of knowledge, the CFSA can be your key to demonstrating your competence in:

  • Financial services auditing.
  • Auditing of financial services products and processes.
  • Understanding the regulatory environment.
  • One of these individual disciplines – banking, insurance, or securities.

Click here for more information and to apply. To qualify, applications must be submitted by April 30, 2014.

*This offer applies only to the CFSA Certification application fee.

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 Houston IIA Chapter will be sponsoring an in-person, 5 day CIA review course and has extended an invitation to Dallas Chapter members interested in attending. The course will be taught by Dr. Glen Sumners, an Internal Audit professor at Louisiana State University. The registration website and course invitation are below.  

CIA Review Course Invitation

This course is offered to assist candidates in their preparation for successful completion of the Certified Internal Auditor examination. The course will combine lectures, discussions, and classroom exercises in a diversified approach to exam preparation. The material covered in this review course is basic to the internal auditor’s work; therefore, the course can also be used to provide training to new internal auditors or for maintaining the skills of more experienced auditors.

When: June 9 - 13, 2014

Where: Total Plaza, 1201 Louisiana St., 3rd Floor, Houston, TX 77002 

Register Here: http://www.cvent.com/d/lJWZqEWJukS9o1XlQSX6wQ/4my3/P1/1K?

Course Schedule & Fees:
Registration Fee before 5/9/13:
  • PART 1 (June 9-10): $300 for IIA Members and $350 for Non IIA Members;
  • PART 2 (June 11): $150 for IIA Members and $200 for Non IIA Members;
  • PART 3 (June 12 & June 13): $300 for IIA Members and $350 for Non IIA Members
  • EARLY REGISTRAITON IS STRONGLY ADVISED
Registration Fee on or after 5/9/13:
  • PART 1 (June 9-10): $350 for IIA Members and $400 for Non IIA Members;
  • PART 2 (June 11): $200 for IIA Members and $250 for Non IIA Members;
  • PART 3 (June 12 & June 13): $350 for IIA Members and $400 for Non IIA Members
  • REGISTRATION DEADLINE IS FRIDAY, MAY 23, 2014.

 Questions? Contact Lauren Elkins at lauren.m.elkins@us.pwc.com


2014 Central Regional Conference

2014 Central Regional Conference
May 18th thru May 21st
Hyatt Regency / Indianapolis, IN
Download the Program Information

The IIA Indianapolis Chapter invites you to the 2014 Central Regional Conference (CRC), which is themed Racing to Relevance!  The CRC kicks off Sunday with two pre-conference activities: a CIA exam preparation workshop in the afternoon and welcome registration in the evening.

On Monday, Senior Vice Chairman of the IIA North American Board and the Virginia Department of Alcoholic Beverage Control’s Director of Audit, John Wszelaki will take the stage with the first of four general sessions.  Then over the course of two days, more than 32 concurrent sessions will be available in 5 educational tracks:

  • IT Audit and Information Security
  • Financial and Process Based Auditing
  • Governance, Fraud, and Ethics
  • Specialty Topics
  • CIA Review Course

The last day of the CRC features two general sessions in the morning led by COSO Chairman Emeritus Larry Rittenberg and CAE panelists from Wendy’s, General Motors, and State Farm.  On Wednesday afternoon, there will be two post-conference events: a CIA exam preparation workshop and CAE roundtable.

A limited number of rooms at the Hyatt Regency in downtown Indianapolis are available at a special rate of $159 plus tax per night.  Make a reservation online by April 28, 2014 or by calling +1-317-632-1234 and mention the 2014 Central Regional Conference.

Please visit www.theiia.org/goto/CRC2014 for more details and to register online (call +1-407-937-1111 to register a group).  And follow the CRC on Twitter!!


Membership News

When was the last time you renewed your IIA membership? 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**

This is the last month for you to join the IIA or renew your membership to be entered into a drawing for the iPad Mini at the May meeting at the Ballpark in Arlington!

March's winners for the restaurant gift cards are:

Shyai Laubscher (Texas Instruments)

and

Breanne Blazewicz (ORIX USA Corporation)


Welcome, New Members!

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

March 2014 New Members

Aaron Johnson
Adam Rife
Amy O'Meara
Arpitha Kaushik
Benjamin Seale
Breanne Blazewicz
David B. Cubberley
Dessy Ethakkan

Elise Rowland
Eric Guenther
Frances Norton
John W. Sneed
Justin Lee
Kate Yip
Lauren Rivet
Linda Dillard

Maria Alaniz
Mouayad Alkanafani
Ralph Saunders, III
Robert Campbell
Ron Bartnett
Shyai Laubscher
William Curry


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.


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

Weaver  (4/10/14)

[eNews/Parts-Jobs/Weaver3.html]

Texas Capital Bank  (4/9/14)

Senior Auditor

ID: 2014-1896
Job Location: US-TX-Dallas-Corporate Headquarters
Location Address: 2000 McKinney Ave
Category: Compliance & Regulatory

Responsibilities:
  • Assist in the development, and completion of a comprehensive risk based, internal audit plan, including SOX testing
  • Assist in monitoring of the Corporate Compliance Program and assist the organization in the management of compliance risk
  • Assist in the development of specific audit plans and ensure that all activities conform to established Internal Audit Department policies and procedures
  • Prepare and execute specific audit programs, procedures, and tasks that are sufficient to opine on the adequacy of governance, risk management, control and compliance processes of Texas
  • Capital Bancshares, its subsidiaries and business units
  • Prepare and review reports of audit results with business unit management
  • Work with managers of various business units to coordinate responses and develop action plans, as necessary, to respond to deficiencies and/or recommendations noted from internal, external audits, regulatory examinations, as well as deficiencies self-identified by management
  • Ensure the quality of all internal audit work complies with Internal Audit Department Charter, established policies and procedures, and established professional standards
  • Utilize available electronic tools to develop programs and analysis that assist in the audit and monitoring processes
  • Through continuous education, maintain and improve knowledge of corporate governance, risk management, internal controls, compliance and internal audit processes
  • Serve as lead auditor on specific assignments directing the activity of exempt or non-exempt level auditors and/or third party providers
  • Perform other duties as assigned
Qualifications:
  • Bachelor’s degree in Finance, Accounting or Business
  • Minimum of three years internal audit, public accounting or regulatory experience
  • Professional certification(s) such as CPA, CIA, CISA and advanced degree preferred
  • ACL experience preferred
  • Evidence of continuing education to maintain skills to accomplish duties and responsibilities
  • Experience in banking and regulatory compliance with excellent knowledge of consumer, Bank Secrecy Act/Anti Money Laundering, and other banking regulations, and related risks
  • Experience in Sarbanes-Oxley (SOX) processes such as internal control documentation, walkthroughs, testing and reporting
  • Understanding of risks within financial services and related risk management processes
  • Understanding of organizational governance processes
  • Effective communication (both verbal and written), negotiating and presentation skills
  • Proficiency in the use of software tools for reports, audits, data extraction, analysis and presentations
  • Knowledge of data processing and information security processes
  • Ability to establish positive working relationships across the organization
  • Strong organizational skills; including effective time management

Link to apply: https://careers-texascapitalbank.icims.com/jobs/1896/senior-internal-auditor/job


VHA Inc.  (4/9/14)

VHA Inc. is a national network of not-for-profit health care organizations working together to improve performance and efficiency in clinical, financial and operational management. Since 1977, when VHA established the first hospital membership organization, the company has applied its knowledge in analytics, contracting, consulting and network development to help members and customers achieve their strategic objectives.

In 2012, VHA delivered $1.9 billion in savings and additional value to members. Serving 5,100 health system members and affiliates, VHA represents more than a quarter of the nation’s community hospitals. VHA also serves more than 118,000 non-acute health care customers enterprise-wide. VHA is based in Irving, Texas, and has 12 regional offices across the U.S. VHA has been ranked as one of the best places to work in health care by Modern Healthcare since the publication introduced this list in 2008.

Title:  Sr. Auditor
Location:  Irving, TX

Job Summary:

As an Auditor III, you will work in a team-oriented environment to perform internal control reviews for accounting and select operational areas. Other duties include expense fraud reviews and business process activities as assigned by senior management.

Responsibilities:
  • Assist in the entity-level risk assessment process
  • Conduct complex audit engagements successfully from beginning to end
  • Work with Audit Director to determine audit program customization requirements
  • Identify and communicate issues raised, offering recommended solutions relevant to business and risk
  • Ensure audit conclusions are based on a complete understanding of the process, circumstances, and risk
  • Develop audit programs and testing procedures relevant to risk and test objectives.
  • Obtain and review evidence ensuring audit conclusions are well-documented
  • Ensure adherence at all times to all applicable department and professional standards
  • Research business best practice concepts in order to apply as appropriate
  • Performs other related duties as assigned.
Requirements:
  • Bachelor's Degree required in Business, Accounting Degree preferred
  • 3-5 years of public or internal auditing experience
  • Certification eligibility (CPA, CIA, CISA or CFE)
  • Developed sense of professional skepticism
  • Excellent presentation/communication skills along with good or developing negotiation skills
  • Proactive and self-motivated in approach to work, adaptable and a team player
  • Ability to observe and understand business processes ensuring processes are documented completely and accurately
  • Proactive in Solid listening skills and ability to identify gaps in logic – inquisitive
  • Strong organization and follow up skills including the ability to handle competing priorities and meet all deadlines and commitments
  • Possess an appropriate combination of technical expertise in fields such as auditing, finance, technology, operations, or investigations, IT Audit experience, a plus
  • Ability to flourish in a complex environment and willing to adapt to new circumstances, information and challenges
  • Solid understanding and ability to apply risk and control concepts
  • Good awareness of other departments in the company with risk, control, and governance responsibilities and what is necessary for successful tactical collaboration and information sharing
  • Ability to identify sensitive issues and facilitate communications in a proactive manner to avoid surprises

VHA offers an exceptional employee benefits package.

The Company is committed to equal employment opportunity to all employees and applicants without regard to race, religion, color, gender, ethnicity, age, national origin, sexual orientation, disability status, veteran status or any other category protected by applicable law.

Applicants:   https://ch.tbe.taleo.net/CH18/ats/careers/requisition.jsp?org=VHA&cws=1&rid=3150


BOK Financial  (4/3/14)

Internal Audit Positions currently available in Tulsa, OK:

Senior Manager – Compliance Audit
http://jobs.bokf.com/united-states/other/jobid4412710-senior-manager-compliance-audit-jobs

Summary:  The Senior Manager, Compliance Audit is primarily responsible for developing the Compliance Audit Plan and coordinating with the Chief Auditor and Corporate Audit Senior Manager to provide a comprehensive independent assessment of controls and policies designed comply with regulatory requirements guidelines and frameworks established by applicable state and federal regulatory agencies, including but not limited to the OCC, CFPB, FINRA and SEC.  To this end, the Senior Manager, Compliance Audit is responsible for the supporting independent enterprise-wide compliance risk assessment framework.  The incumbent develops the audit approach based on the risk assessment, regulatory guidance and industry best practices.

Senior Manager – Corporate Audit
http://jobs.bokf.com/united-states/other/jobid5012397-senior-manager-corporate-audit-jobs

Summary:  The Senior Manager, Corporate Audit is primarily responsible for developing the Corporate Audit Plan and coordinating with the Compliance Audit and Information Technology Senior Managers to provide a comprehensive enterprise-wide independent assessment of controls and policies designed to safeguard assets and comply with regulatory requirements.  To this end, the Corporate Audit Senior Manager is responsible for the supporting independent enterprise-wide risk assessment framework.  The incumbent develops the audit approach with the Chief Auditor and Audit Director based on the risk assessment, regulatory guidance and industry best practices.

Manager – Compliance Audit
http://jobs.bokf.com/united-states/risk-management/jobid4602660-compliance-audit-manager-jobs

Summary:  The Compliance Audit Manager is primarily responsible for the planning and management of Compliance audits of all areas of BOK Financial Corporation and subsidiaries (“BOKF”) and the communication and resolution of findings and other compliance issues; anticipates and employs changes to the Compliance Audit plan and programs as a result of changes in the Company’s business environment; helps to coordinate work with external auditors and regulators as necessary; analyzes the Compliance Audit approach and manages resources to ensure that risks for individual areas and for the entity as a whole are adequately identified and addressed; recruits, supervises, evaluates, counsels, and trains staff; performs special projects, including due diligence of proposed acquisitions, fraud research, analysis of issues, assistance in the development and review of procedures, and systems applications, etc.

Manager – Corporate Audit
http://jobs.bokf.com/united-states/corporate-communications/jobid4589781-corporate-audit-manager-jobs

Summary:  The Corporate Audit Manager is primarily responsible for the planning and management of financial, operational, regulatory and internal control audits of almost all areas of BOKF Corp. (excluding trust operations, loan review, and information systems), and the communication and resolution of findings and other audit issues; coordinates work with external auditors and examiners as necessary; analyzes the audit approach and manages resources to ensure that risks for individual areas and for the entity as a whole are adequately identified and addressed; recruits, supervises, evaluates, counsels, and trains staff; performs special projects, including due diligence of proposed acquisitions, fraud research, analysis of issues, assistance in the development and review of procedures, and systems applications, etc.


MoneyGram  (4/3/14)

Money Gram

Company name: MGI
Position Title:  Internal Audit Manager (Compliance)
Location: Dallas, Texas, United States, 75201

MoneyGram is an international, high-performance company, located in approximately 200 countries and territories.  We are committed to our employees. MoneyGram promotes an environment that is both challenging and rewarding for employees. We understand the importance of career development, and provide many opportunities to learn and grow. We take pride in upholding a culture strongly rooted in our corporate values, and committed to the communities around us.

This Internal Audit Manager will have a focus on Compliance related matters and is accountable for managing audits and other projects within the Internal Audit function for the purpose of providing an evaluation of the internal control environment.  This resource will also lead audits and other projects within the Internal Audit function for the purpose of providing an evaluation of the internal control environment and to help improve operations.  They will supervise less experienced auditors and outside contractors as needed.  This role will have a heavier involvement with the critical compliance-oriented audits, and is expected to have significant interaction with the compliance leaders of MGI.

  • Prepares the audit scope, objectives, and work plans for assignments, including planned internal audits, and other projects as appropriate. Ensures the selection of appropriate audit tests and identification of key controls and oversees compliance and other audits that are of higher complexity and risk.
  • Manages audit test procedures and directs staff/contractors in executing their assigned portion of the audit plan. Reviews results and provides feedback to business line management. Escalates issues to Dir. Internal Audit and SVP Audit, as necessary.
  • Reviews the results of test procedures to determine any additional testing requirements and summarizes findings. Provides evaluation and proposed solutions for internal control risks, gaps, and governance/compliance requirements.
  • Builds effective business relationships with process owners and other internal customers to optimize the audit process.
  • Performs other duties as assigned.
Job Requirements

Qualified Candidate Key Attributes:

  • Education:  BA/BS in Accounting, Finance or related field; CPA and/or CIA preferred
  • 7-10 years of audit experience in public accounting or audit department
  • Experience auditing in a highly regulated compliance environment
  • Experience auditing banking and/or payment services companies preferred
  • Proven understanding of business processes and internal controls
  • Experience overseeing staff and providing work direction and monitoring results of staff
  • Ability to work independently with minimal direction
  • Deep understanding and business knowledge surrounding area of responsibility
  • Strong analytical, interpersonal, and communication skills
  • Strong project management skills
  • Up to 20% Travel (domestic and/or international)

Apply Here: http://www.Click2Apply.net/r9tcwk9


Federal Home Loan Bank of Dallas  (3/27/14)

SR. IT AUDITOR

JOB SUMMARY

Under general supervision, responsible for providing assistance in completion of the annual audit plan and assisting internal audit management with administration duties, development and adherence to policies and procedures, and the achievement of specific audit objectives.  Also responsible for completion of assigned audit projects.  Assists Internal Audit Management in communicating risks, control weaknesses and recommendations to directors and senior management through verbal interaction, written reports and presentations. 

PRIMARY RESPONSIBILITIES:

  1. Plans and conducts audits, which are frequently complex in nature, of Information Technology (IT), Operational, and Compliance areas to determine if operating units are in compliance with Bank policies and procedures, applicable laws and regulations and GAAP.
  2. Establishes, with limited supervision, audit objectives, time estimate, plan of work, and supervises or performs data collection and documentation and evaluates results.
  3. Provides consulting service to clients on matters relating to internal controls, operations or compliance matters.
  4. Stays abreast of applicable laws and regulations, accounting principles and auditing standards.
  5. Report, when noted, non-compliance of GAAP to appropriate management.
  6. Assumes additional responsibilities as assigned. 
JOB  REQUIREMENTS:
  1. Bachelor’s degree required with a major in Computer Science, Accounting, Finance or a business related field, with a graduate degree preferred.
  2. 2-3years of IT related internal audit experience.
  3. CISA Certification is required.  Other certifications such as CISSP, CPA, or CIA  are desirable.
  4. Broad based knowledge of IT internal audit, internal controls and risk management.
  5. Excellent communication, interpersonal and project management skills required along with ability to work under pressure.
  6. Strong detail orientation and excellent analytical skills.

TO APPLY: https://home2.eease.adp.com/recruit/?id=10725292

EQUAL OPPORTUNITY EMPLOYER   M/F/D/V


First United Bank & Trust  (3/21/14)

First United Bank & Trust
Senior Internal Auditor

SUMMARY

The Senior Internal Auditor will execute financial, operational, and compliance audits from start to finish, inclusive of planning, fieldwork and reporting. Apply risk assessment and critical thinking skills to scenarios encountered and identify any potential issues including root cause. Communicate identified issues with business process owners to ensure any potential concerns are addressed in a timely and effective manner. Assist in the development of the annual risk assessment and audit plan. Establish effective relationships with risk partners and business line management. 

MAJOR DUTIES AND RESPONSIBILITIES (ESSENTIAL FUNCTIONS)
  • Conducts assigned audit projects including audit planning, process walkthroughs, risk assessment, audit program development, test work, audit report issuance, and project wrap-up.
  • Applies knowledge of banking, including regulatory compliance, mortgage banking, accounting and finance, lending, insurance, and deposit operations in the completion of process-based internal audits.
  • Identifies root causes and effectively communicates audit findings and recommendations to business process owners.
  • Assists in the preparation and update of the annual risk assessment of the audit universe and audit plan.
  • Develops productive and value-added relationships with management and other stakeholders.
  • Coordinates with external auditors in completion of annual financial audits and outsourced audits.
  • Performs audit finding follow-up with bank process owners to ensure that corrective actions have been effectively implemented as prescribed in audit reports.
  • Conducts and/or assists in the completion of special-request projects on an as-needed basis.
  • Contributes to the overall quality and effectiveness of Internal Audit through continual skill development and staying current with audit process and banking industry topics.
  • Travels approximately 5% to bank and mortgage office locations in Oklahoma and North Texas.  Primary office will be located in McKinney, Texas.
EMPLOYEE SPECIFICATIONS

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

EDUCATION AND WORK EXPERIENCE
  • Three plus years’ experience working in public accounting or internal audit, banking industry experience preferred
  • Four year college degree in accounting, finance, or other business field.
  • Obtained audit-related certification such as Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) or working toward achievement.
TECHNICAL/FUNCTIONAL CAPABILITIES
  • Strong analytical skills to assess control design and effectiveness.
  • Effective project management skills.
  • General knowledge of regulatory requirements for core bank and mortgage banking activities.
  • Excellent verbal and written communication/presentation skills to clearly articulate and support audit results.
  • Proficient in use of Microsoft Excel, PowerPoint, Word, and Visio.

Apply for this position at https://www.firstunitedbank.com/join-our-team

Contact John Hewitt at jhewitt@firstunitedbank.com with any questions. 


Novation  (3/20/14)

Novation has won awards for our focus on Ethics, leadership, diversity and environmental initiatives in our industry, made the great places to work list and works hard to “be green” in our practices and our offices.  In 2012, the health care customers Novation serves used our contracts to purchase over $40 Billion in products and services and we continue to grow.  Additionally, we help lower costs for America's hospitals, and since 2009, we have provided just over $1 billion in savings for our customers.  We offer a culture that likes to promote from within and we have a tremendous benefit package that includes an onsite gym.  Join our team to help improve healthcare costs for all across the country.

Senior Auditor – Supplier Audit

Location:  Irving, TX

Job Summary:
You will work in a team-oriented environment to identify underpaid and unpaid Member Value through review of health care organization purchase data and monitoring activities.  Performs complex analysis, database queries, forensic investigation and research of suppliers’ data to identify and quantify unpaid or missing fees. Influences and supports Sr. Management discussions with suppliers based on technical expertise and comprehensive research. Communicates with internal and external parties to gather or distribute information related to audit engagements. Manages communication and disbursal of Member Value to customers as well as contribute to other corporate projects. 

Responsibilities:
  • Manage projects to gather information and prepare charts, graphs, tables and more for supplier audits
  • Use business acumen and advanced data mining skills to write database queries, perform highly complex analysis of supplier data and investigate payment of fees
  • Design and conduct tests, using numerous databases queries, to identify issues regarding fee/rebate payment completeness and accuracy
  • Determine and present quantified missing fee impact to advise and influence Management decisions during recovery discussions
  • Perform as a subject matter expert to management and others regarding functional knowledge and to identify missing fees and improvements
  • Document research, review working papers, and provide guidance to other employees
  • Participate in internal and supplier calls to reconcile contract eligibility and minimize reporting errors
Qualifications:
  • Accounting, Finance or Systems Degree preferred. Masters or other relevant advanced degree a plus
  • 3-5 years of public or industry audit experience
  • Ability to travel <20%
  • Development/management of analytical processes/systems
  • Advanced data mining experience (SQL, ACL and IDEA) is preferred
  • Financial certification or eligibility preferred (CPA, CIA and CISA are preferred)
  • Strong analytical skills
  • Developed sense of professional skepticism
  • Proactive in approach to work, adaptable, and a team player
  • Must possess excellent presentation/communication skills
EOE  M/F/D/V

The Company is committed to equal employment opportunity to all employees and applicants without regard to race, religion, color, gender, ethnicity, age, national origin, sexual orientation, disability status, veteran status or any other category protected by applicable law. 

All applicants should apply at: https://ch.tbe.taleo.net/CH18/ats/careers/requisition.jsp?org=VHA&cws=39&rid=3116


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


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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