August 2008

Next Meeting - Thursday, August 7, 2008
Plano Centre

Trends in Internal Auditing

Lunch Meeting 12:00pm
Registration begins at 11:30am

The GAIT Series from the IIA and how it impacts Internal Auditors
Ed Hill, Managing Director - Protiviti

This presentation by Edward Hill will cover each of the IIA's Guide to the Assessment of IT Risk (GAIT) and will also present a case study on a potential use of the GAIT for Business and IT Risks in scoping an audit. Ed was a principle author of the GAIT series. There are three publications, in this series, "The GAIT Methodology" (the first in the series), provides a methodology to help organizations identify the key IT General Control Processes needed for an efficient and effective scope of work for Sarbanes 404 compliance. The second "GAIT is the GAIT for IT General Control Deficiency Assessment" that provides an approach for assessing ITGC deficiencies identified during the annual assessment of internal controls over financial reporting. And third "GAIT for Business and IT Risk" which focuses on identifying the critical aspects of IT processes that are essential to the management and mitigation of business risk.

Ed Hill is a founding Managing Director of Protiviti. Prior to that, he spent over 20 years in a Big Five accounting firm, 14 of which were managing IT audit and risk consulting engagements. He is currently the global leader of Protiviti's IT audit practice, which includes IT Risk and Control work related to Sarbanes-Oxley (SOX) compliance projects. Ed spends a majority of his time leading Protiviti's efforts around its IT internal audit practice and the IT portions of SOX engagements. He manages many different types of Information Technology engagements including internal audit services, IT SOX compliance, security reviews, application controls reviews, information technology due diligence assessments, technology infrastructure analysis and reviews, and has led several projects to develop a comprehensive risk based internal audit plan. Ed is active in the Institute of Internal Auditors and is currently Chairman of the IIA’s Advanced Technology Committee.

1 Hour Continuing Education

Pre-Meeting - 10:30am - 11:30am

IT Internal Audit: The Evolving Role of a Technologist
Maanasa Jain, Sr. Manager – PricewaterhouseCoopers LLP

The stereotype of the traditional IT Internal Auditor creates a persona of someone who is deeply technical and has an expertise within the confines of the IT department. Similar to the overall internal audit profession, the role of the IT Internal Auditor has been evolving into a more strategic role. Both management and mature Internal Audit organizations are beginning to expect IT Auditors to be strategic technology controls advisors, thereby increasing the perceived value of the profession.

Maanasa Jain is a Dallas-based Senior Manager in the Systems and Process Assurance practice of PricewaterhouseCoopers. She has over 11 years of combined experience in auditing and consulting within the business process and information technology fields. For the past four years, Maanasa has been focused on Sarbanes-Oxley compliance efforts, both from an external audit perspective as well as serving in an advisory capacity for non-audit clients. She has led engagements to assist clients with Sarbanes readiness for multi-billion dollar companies. Maanasa has also assisted clients though major business changes including business process and IT controls redesign for several high-technology, retail and consumer products companies. Most recently, Maanasa has been speaking to several companies in the marketplace regarding AS5 and its impact on their organizations. She is one of the local market leads for internal controls optimization.

Maanasa has a B.B.A. in Management Information Systems from Texas A&M University. She is also a Certified Information Systems Auditor (CISA).

1 Hour Continuing Education

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

7 Deadly Sins of SAS 70’s
Chris Mitchell, Principal – KBA Group LLP Risk Advisory Services

In this presentation Mr. Mitchell plans to discuss, In Plain English, the following:

• Who needs a SAS 70 assessment?
• What are the steps in the SAS process?
• Preliminary preparation for a SAS 70 assessment
• Common issues found during a Type II assessment
• Benefits of a Type II vs. Type I SAS 70

Chris Mitchell has over 13 years of risk advisory, finance and IT consulting experience. He has held the titles of Internal Audit Director, Senior Program Manager and Managing Consultant at various companies in industries including financial services, telecommunications, software development, manufacturing and government. His practice focuses on assisting clients with 404 implementations, Type I & II SAS 70, risk assessments, leading internal audit teams and making cost-effective recommendations to enhance internal controls, maximize efficiency and minimize exposure to loss and regulatory risk.

Chris received his Bachelor of Accounting degree from the University of Texas at San Antonio and his MBA in Information Technology from the University of Texas at San Antonio. Chris is a CIA (Certified Internal Auditor), a CISA (Certified Internal Systems Auditor) and a CCSA (Certified Control Self-Assessor).

1 Hour Continuing Education

The $35 member price is for current Dallas IIA members only.  The only exception is when we have joint meetings with other organizations. We welcome members of other chapters and organizations.  However, if you are not a member of the Dallas Chapter, we request that you register as a non-member and pay the applicable fee.   If you are unsure of your chapter affiliation, please confirm The IIA’s records are current by logging into www.theiia.org or calling The IIA’s customer service line at 1-407-937-1111.   Thank you for your understanding and support of our programs.

This meeting is being held at the Plano Centre
2000 East Spring Creek Parkway, Plano, Texas 75074

Preferred Method:

Place and confirm your reservation via the web site at http://www.dallasiia.org/Reserve_0808.htm.

Reservations and cancellations must be received by 5:00 pm on Friday, August 1, 2008.

We reserve the right to bill for "no-shows."

We Now Accept Credit Cards - Online Only

The IIA Dallas Chapter, in conjunction with PayPal, will now accept payment online for the monthly luncheons. There is no change in the cost to you for the lunch. We accept VISA, MasterCard, Discover, American Express, or eCheck.  Note that some corporate-issued cards are not accepted by PayPal. This service is only available online at the time the reservation is made.  This can be used to pay for individual or group reservations. Follow the instructions on our web site.  If you properly cancel a reservation before the meeting, the Chapter will either return the funds to you or reserve you for the next meeting.  Any questions, contact Abe Paul at abe.paul@tatumllc.com.

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

Please welcome our new Secretary to the Chapter – Holly Villanueva!

Holly Villanueva joined JCPenney in 1998 and is currently an Audit Manager on the Stores Process Review Team, auditing store operations, joining this team in 2005.  Holly has also been actively involved with the recruiting of college hires for the Auditing Department for the last three years.  Additionally, Holly spent 6 years as an IT auditor within the JCPenney Auditing Department and an IT applications developer in the Credit Systems division.

Prior to joining JCPenney, Holly worked with JPI Partners as a Business Analyst assisting on the installation of an Oracle Human Resource/Payroll system and Neiman Marcus as an IT Application Developer working with the Merchandise Divisions.

Holly graduated with a Bachelor’s of Business Administration in Business Analysis Management Information Systems from Texas A&M University.  She is a Certified Internal Auditor as well as a Certified Information Systems Auditor and is a member of both the Institute of Internal Auditors and the Information Systems Audit and Control Association.  She has served on the Programs Committee and Academic Relations Committee including a year as co-chair of both these committees.  She has been an active member of the Dallas Chapter since 1999.  Holly will serve as Secretary for 2008-2009.

Certification News - CIA Review Course

Registration is open until August 27 for the next Dallas Chapter CIA Review course. The course is being presented by Dr. Glen Sumners and will be held on September 4-7, 2008. The course will be taught at the UTD School of Management (SOM) Room 1.502. A map with directions to UTD can be found at: http://www.utdallas.edu/campusmap.html. Lunch will be provided each day.

The course will be held according to the following schedule:

Please note: CPE credit of 8 hours per part is available from the IIA but not the Texas State Board of Public Accountancy.

See the website at http://www.dallasiia.org/CIA_Review_F08.htm for more information.

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 May1. 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 August 15, 2008.

Career Opportunities

Are you currently in the job market either voluntarily or involuntarily? Let the Employment Committee help you. Send us your resume and we will include you in our resume database. We receive calls from recruiters and hiring managers for open positions and will forward your resume if there is a match. We get calls for staff to director levels, IT to finance, local to out of town. All inquiries will be handled confidentially.

If you have any questions, please contact Greg Dubis at 972-431-5946 or send him an e-mail at gdubis@jcpenney.com.  We look forward to helping you.

• Valero Energy Corporation (3)
• Parkland Health & Hospital System
• Capital One
• Dr Pepper Snapple Group (5)
• The University of Texas Health Science Center at Tyler
• Cadbury Schweppes (2)

Valero Energy Corporation  (7/17/08)

At Valero, you will have the chance to work with a talented team of individuals to complete challenging and rewarding tasks and also work at a company that is recognized as one the best managed and best companies to work for in the country. Recent recognitions include:

• #1 on Fortune Magazine's Best Big Companies to Work For
• #1 on Forbes Magazine's annual listing of the Platinum 400 – The Best Big Companies in America
• #67 on Fortune Magazine's list of the 100 Best Companies to Work For
• One of Forbes' Best-Managed Companies in America

Internal Auditor (2 Positions)
San Antonio, TX

Responsibilities:
Assists Internal Audit Management in the optimization of profits, safeguarding of corporate assets and ensuring the reliability and accuracy of financial data by making an examination and appraisal of financial and operating controls and procedures to provide suggestions for improvements and recommendations concerning activities reviewed. Examines activities of all areas of the Corporation to determine the extent of compliance with policies, plans, and procedures and rules of regulatory agencies. Evaluates to the extent possible, through the audit process, managerial effectiveness in the attainment of objectives. Assists in audit project planning including initial client interviews, preparation of audit planning memorandums and risk matrices. Assists in the development of audit program procedures to address risks identified in the approved risk matrices. Executes audit program procedures, clearly and concisely documents testing performed and findings. Keeps audit in-charge informed of execution issues and findings. Develops practical recommendations which will be accepted by management. Advises audit in-charge of the need for subject matter expertise to ensure the efficient execution of the audit, including the need for IT audit involvement. Assists in the preparation of written reports of audit results and the follow up of audit recommendations made to ensure implementation. Assists Internal Audit management in discharging administrative responsibilities as needed.

Requirements:
Bachelor's degree in Accounting or related field required. Minimum three years of internal auditing, public accounting, or general accounting experience required. Microsoft Office applications and database application experience required. Strong analytical, communication and human relations skills preferred. Excellent oral and written communication skills to interact with internal and external contacts required.  Ability to work under time constraints to complete the annual Audit Plan and to assist our independent public accountants on annual audit assignments. Previous experience with refining, manufacturing, or contractor compliance audits desirable.

CANDIDATES WITH GREATER QUALIFICATIONS MAY BE CONSIDERED FOR A HIGHER LEVEL POSITION.

PLEASE APPLY ONLINE AT http://valerojobs.ats.hrsmart.com/iia4358

IT Audit Specialist
San Antonio, TX

Responsibilities:
Assists with the planning and delivery of audit related services including risk assessments, system development reviews, integrated operational reviews, and general control reviews over a wide range of information technology areas. Assists in the execution of traditional audits over a variety of applications and platforms, requiring specific technical expertise in some cases. Suggests new or improved procedures and techniques related to the testing and monitoring of internal controls over systems and technology to secure access to Company data and assets and enhance the overall profitability and efficiency of the Corporation. Assists in the planning and execution of audit work, including work paper review and project oversight.

Requirements:
Bachelor's degree in Accounting, MIS, or related field required. Minimum 5 years of internal auditing public accounting experience, or information services required, including at least three years of Information Technology (IT) auditing. Experience in auditing Application Specific controls (e.g., SAP controls, etc.) and/or Information Security concepts strongly preferred. General Computing Control audit experience is strongly preferred. Understanding of Audit principles including control framework concepts and the practical application of such concepts within the Corporation's information systems is required. CISA, CIA, CISSP, and other applicable certifications are desired. Specific experience in the refining and marketing business preferred. Proficiency with Microsoft Office Suite required, with proficiency in database management software tools, data query tools (ACL or IDEA), and SAP strongly preferred. High degree of initiative and creativity required because each audit assignment will require a different approach. Excellent oral and written communication skills are required in order to facilitate effective and efficient interaction with internal and external contacts. Ability to deliver work products under time constraints to complete the annual Audit Plan, particularly while assisting our independent public accounts as a part of the annual external audit process.

CANDIDATES WITH GREATER QUALIFICATIONS MAY BE CONSIDERED FOR A HIGHER LEVEL POSITION.

Please apply online at http://valerojobs.ats.hrsmart.com/iia2360

Parkland Health & Hospital System  (7/15/08)

Internal Auditor
Parkland Health & Hospital System
Dallas, Texas

At Parkland, we care about our patients and our employees. Parkland employs over 7,500 people and has full and part-time job opportunities throughout the 900-bed hospital and its community-based clinics. We have been recognized as one of Verispan’s 100 most integrated health networks and U.S.News & World Report’s “America’s Best Hospitals.”

Internal Auditor

Description
In this position, you will conduct audits of specific operations throughout our hospital. This involves gathering and interpreting data, summarizing findings and presenting recommendations for improvement.

Requirements
We’re looking for a detail-oriented individual with solid communication, interpersonal, analytical and negotiation skills. You must have a Bachelor’s degree in Business with 18 hours of accounting courses plus 2 years’ related experience in a healthcare setting. Applicants with a Bachelor’s degree in Business with 18 hours of accounting courses and 4 years’ related experience in an internal audit environment will also be considered. Proficiency with spreadsheet, flow charting and word processing software is crucial. The ability to prioritize multiple tasks is essential to success.

To apply:
Please e-mail, mail or fax your resume to:
Parkland Health & Hospital System
5201 Harry Hines Blvd.
Dallas, TX 75235
Attn: Danilio Davila
E-mail: ddavil@parknet.pmh.org
Fax: 214-590-2767
www.parklandcareers.com

EOE

Capital One  (7/1/08)

Audit Associate II

Be Valued. Be Valuable. Be Here!

At Capital One, we value passion, innovation, and out-of-the-box thinking. Our associates’ daily actions translate into creative products and can-do service, generating value for our customers, coworkers and communities. Come be a part of the future, as Capital Ones uses its Values of Excellence and Do the Right Thing to become one of the world’s greatest financial leaders.

So what does this mean for you? How about the chance to excel in our supportive, team-oriented environment? To be challenged to advance your skills alongside the brightest talent in the business, and to take on important responsibility from day one while building a rewarding career – all with a fast-growing industry leader.

Capital One is seeking an Audit Associate II to join our Corporate Audit Services team at our newly built location at Legacy in Plano, Texas. This position will be responsible for performing professional internal auditing work that involves conducting financial, operational, Sarbanes-Oxley, and compliance audit projects and providing input to the development of the annual audit plan. An Audit Associate II maintains all organizational and professional ethical standards and works under limited supervision, with certain latitude for initiative and independent judgment.

• Basic Qualifications:
• Bachelors Degree
• 1 year of internal or external auditing or compliance experience identifying risks and controls
• Proficient in Word and Excel

Capital One Bank offers competitive salaries and an excellent benefits package including: medical, dental, disability, cancer, vision, 401(k), paid vacation and holidays, EAP, MBA educational assistance and many opportunities for advancement. EOE/AA.

Audit Associate III

Be Valued. Be Valuable. Be Here!

At Capital One, we value passion, innovation, and out-of-the-box thinking. Our associates’ daily actions translate into creative products and can-do service, generating value for our customers, coworkers and communities. Come be a part of the future, as Capital Ones uses its Values of Excellence and Do the Right Thing to become one of the world’s greatest financial leaders.

So what does this mean for you? How about the chance to excel in our supportive, team-oriented environment? To be challenged to advance your skills alongside the brightest talent in the business, and to take on important responsibility from day one while building a rewarding career – all with a fast-growing industry leader.

Capital One is seeking an Audit Associate III to join our Corporate Audit Services team at our newly built location at Legacy in Plano, Texas. This position will be responsible for performing professional internal auditing work that involves conducting financial, operational, Sarbanes-Oxley, and compliance audit projects and providing input to the development of the annual audit plan. An Audit Associate III maintains all organizational and professional ethical standards and works under limited supervision, with certain latitude for initiative and independent judgment.

Basic Qualifications:

• Bachelors Degree
• 2 years of internal or external auditing or compliance experience identifying risks and controls
• Proficient in Word and Excel

Capital One Bank offers competitive salaries and an excellent benefits package including: medical, dental, disability, cancer, vision, 401(k), paid vacation and holidays, EAP, MBA educational assistance and many opportunities for advancement. EOE/AA.

We are eager to meet you!

In order to be considered for either position, please apply to the position and submit a resume by visiting our website and searching for reference number 603288 www.capitalonebank.comcareers

Or you may send an email to jamie.busler@capitalonebank.com for additional information. EOE/AA

Dr Pepper Snapple Group  (6/5/08)

Sr. Corporate Auditor

Purpose

The Senior Corporate Auditor will execute corporate audit assignments and assist with Sarbanes Oxley (SOX) compliance throughout the company. Assist in providing recommendations that improve internal controls, add value and/or create greater efficiencies with respect to operations and financial reporting. Work with key audit resources to complete assigned projects on schedule.  There will be some exposure to senior management throughout the organization

Accountabilities

• Assist the Manager of Corporate Audit in performing company-wide annual risk assessments and preparation and execution of the annual audit plans
• Responsible for executing complex audits; assist in the performance of critical project management duties including the planning, scheduling, coordinating, reviewing and reporting of the work of audit teams; and providing expertise in auditing standards and performance criteria, audit requirements, and information technology skills
• Execution of assignments related to operational auditing, financial auditing, and SOX compliance
• Maintain corporate audit independence and objectivity in all assignments while developing and maintaining effective and value-adding business partnerships
• Assist in the developing and executing of corporate audit procedures, schedules, priorities and programs for achieving audit objectives and goals
• Preparing audit reports using sound writing skills
• Participate in special assignments as deemed necessary by the Manager of Corporate Audit and management
• Ensure that recommendations are clearly presented to and agreed to by management and that a subsequent audit report is issued promptly
• Ensure that all agreed recommendations are subsequently implemented;
• Stay abreast of best practices and provide conduit for introducing those practices to the company

Prerequisites

Experience: 

• Three or more years of accounting and auditing experience, including at least one year of supervisory experience, with a minimum of two years of public accounting and/or internal audit experience; large public company experience preferred.
• Experienced with SOX and risk assessment methodologies;
• Information systems audit experience a plus

Education:

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

Skills: 

• Demonstrated team skills
• Demonstrates initiative and drives for results
• Takes accountability for scope of control
• Strong interpersonal skills – ability to work closely with people at all levels of the organization and facilitate the implementation of corrective action;
• Project management experience strongly desired;
• Ability to influence business partners and key stakeholders
• Excellent verbal and written communication and presentation skills
• Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
• Proficient in MS Word, Excel, Visio, and PowerPoint.
• Ability to work in all types of environments from manufacturing plants and distribution centers.
• Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 50%);

Manager SOX Tools Reporting

Purpose

Provide executive reporting and change leadership for all aspects of the SOX program. Develop and implement training programs across DPSG around internal controls. Maintain the compliance tool(s) used for documentation, self-reporting, and testing of internal controls. Facilitate planning and execution of Business Unit and Corporate monitoring and self-assessment processes.

Accountabilities

1. Provide executive reporting and change leadership for all aspects of the SOX program:
   • Effectively transition the organization through changes necessary for compliance effectiveness, leveraging an understanding of how to transition individuals through phases of change.
   • Provide guidance on the steps in the compliance process, including project deadlines and how to use compliance tools.
     Monitor and communicate the progress of the compliance effort. Facilitate periodic informational meetings, conference calls, and web-casts with key stakeholders, process owners, and control owners.
   • Oversee all communications regarding the SOX program. Create and maintain a communications matrix which identifies key stakeholders, key program events, and recommended communication media and frequency.
   • Prepare executive presentations for key meetings, including Disclosure Committee, Audit Committee, and SOX Steering Committee.
   • Assist with designing standardized processes and controls and related documentation where DPSG policies do not exist.
2. Develop and implement training programs across DPSG around internal controls:
   • Provide process and system training to new control owners or other stakeholders across Business Units and functional departments.
   • Provide regular training that ensures that management and process owners are conversant with the Company’s internal controls policies, procedures, and new regulations, as well as changes related to evolving organizational and technology landscapes.
3. Maintain the compliance tool(s) used for documentation, self-reporting, and testing of internal controls:
   • Lead a project team to evaluate, purchase and implement a compliance software solution.
   • Maintain updates to the SOX controls framework, organizational hierarchy, and user access profiles in the compliance software solution. Maintain a change control process to ensure changes to key documentation are approved and up to date.
   • Gather user requirements for determining and creating reporting mechanisms and dashboards.   Serve as a subject-matter-expert for evaluating and developing solutions for complex metric and analysis gathering.
   • Open system support tickets for problem resolution and follow up to ensure agreed upon service levels is met. Provide second level user support for system problem resolution.
     Serve as liaison between users, software vendors and IT to resolve complex issues.
   • Create and maintain the Sarbanes-Oxley Compliance intranet site and project database.
4. Other Accountabilities:
   • Perform numerous special projects, research assignments, and financial analyses and financial model creation as directed by the Director, SOX Compliance.
   • Participate in key meetings on the behalf of the Director as needed.
   • Leader for the SOX Tools and Reporting Team. Manage career development and ongoing training of direct reports.

Prerequisites

Experience:

• 8+ years related experience, internal audit and/or public accounting background preferred
• Proven knowledge of sound internal control principles along with demonstrated ability to provide solutions to control issues. 
• Proven ability to work individually and within a team environment, build strong relationships and maintain rapport with cross-functional Business Unit and Corporate teams.
• Experience leading organizational change is strongly preferred.

Education: 

• Bachelor’s degree in a business discipline or Information Systems. MBA preferred.
• Ideal candidate will have professional certifications in Accounting/Audit (CPA, CIA, or CMA), Project Management (PMP), or Human Resources (PHR).

Skills:

• Strong leadership and team-building skills
• Ability to influence/persuade senior managers, business partners and key stakeholders
• Strong communication and presentation skills
• Strong project management abilities.
• Ability to manage details on multiple concurrent tasks while meeting various deadlines.
• Takes full accountability and effectively identifies and drives problem solving opportunities
• Demonstrates initiative and drives for results
• Project management experience
• Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
• Proficient in MS Office Suite of programs.
• Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 20%).

Manager SOX Framework Testing

Purpose

Leads a major portion of the DPSG Sarbanes-Oxley (SOX) compliance efforts by owning the controls framework and coordinating the annual and ongoing testing approach. Responsible for the evaluation of internal controls testing results, and reporting the results to senior management. Coordinates the SOX efforts of Business Unit internal controls leadership, process owners, PMO team members, Internal Audit across the Company.

Accountabilities

1. Develop and manage the SOX controls framework and the annual SOX compliance plan:
   • Develop, implement, and communicate the Company’s annual SOX compliance plan. 
   • Coordinate appropriate changes to the Controls Framework process with all appropriate constituents – including Internal Audit, external auditors, Business Unit leadership, external consultants, and corporate management.
2. Coordinate the annual and ongoing testing approach, and evaluate testing results:
   • Collaborate with Internal Audit to plan and schedule independent testing for all in-scope locations (including entity, Corporate, Business Units, Information Systems, Shared Services, and BPO controls).
   • Implement the Company’s Sarbanes-Oxley testing and evaluation plan and develop ongoing procedures for maintaining records of testing results. Provide metrics that measure effectiveness these of initiatives. 
   • Oversee the remediation and re-testing of DPSG’s internal controls for all locations. 
   • Ensure all quarterly validation processes for SOX controls company-wide (including testing, checklists, & self assessments) are aligned, coordinated, and actively managed.
   • Respond to all internal control matters identified in Internal Audit reports and Deloitte management letters and field procedures.
3. Coordinate SOX-related process improvement initiatives with key stakeholders across the Company.
   • Document business processes, related controls, and key roles and responsibilities through process narratives (collaborate with process owners). Recommend enhancements where policies do not exist.
   • Develop internal controls best practices initiatives and proactively investigate control deficiencies associated with business operations throughout the Company. 
   • Recommend and implement manual and system process improvements, which result in greater internal control efficiencies and effectiveness.
   • Incorporate key learning’s from audit reports and testing results, as well as from SAS70 reports and other external SOX best practice/guidance documents.
   • Work closely with internal and external auditors for synergies and coordination of ongoing improvement to the Controls Framework and SOX testing programs.
4. Other Accountabilities:
   • Perform numerous special projects, research assignments, and financial analyses and financial model creation as directed by the Director, SOX Compliance.
   • Participate in key meetings on the behalf of the Director as needed.
   • Leader for the SOX Framework and Testing Team. Manage career development and ongoing training of direct reports.

Prerequisites

Experience:

• 8+ years related experience, internal audit and/or public accounting background preferred
• Proven knowledge of sound internal control principles along with demonstrated ability to provide solutions to control issues. 
• Proven ability to work with individually and within a team environment, build strong relationships and maintain rapport with cross-functional Business Unit and Corporate teams.
• Experience leading process redesign/process documentation projects is preferred.

Education:

• Accounting or Finance degree required. MBA preferred.  
• Ideal candidate will have professional certifications in Accounting/Audit (CPA, CIA, or CMA)

Skills:

• Strong leadership and team-building skills
• Ability to influence/persuade senior managers, business partners and key stakeholders
• Strong communication and presentation skills
• Strong project management abilities.
• Ability to manage details on multiple concurrent tasks while meeting various deadlines.
• Takes full accountability and effectively identifies and drives problem solving opportunities
• Demonstrates initiative and drives for results
• Project management experience
• Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
• Proficient in MS Office Suite of programs.
• Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 20%).

Internal Controls Specialist – Framework Testing

Purpose

Responsibilities include analyzing, designing, documenting, monitoring, and maintaining an effective and efficient Sarbanes-Oxley (SOX) internal control environment in accordance with company policies and procedures.   This position requires effective project management, recommendation of process improvements, and proactive follow-through and coordination with key stakeholders across the enterprise.

Accountabilities

1. Lead process design, documentation and improvements:
   • Provide appropriate guidance for internal controls compliance and related process improvements for process owners, control owners, and other stakeholders
   • Assist with designing standardized processes and controls and related documentation where DPSG policies do not exist.
   • Develop action plans for ongoing maintenance and monitoring of internal controls in accordance with established company policies and procedures and regulatory requirements, including the Sarbanes-Oxley Act.
   • Recommend and implement process improvement solutions, which result in greater controls efficiencies and effectiveness.
   • Develop associated communication, education and training to advance the ability of our user community to leverage these improvements.
   • Provide consolidation, analysis and report preparation of results for senior management.
   • Provide enhancements, process documentation, training and awareness materials and communication vehicles.
   • Assist with the design and implementation of internal controls training for control owners and audit staff.
   • Conduct walk-throughs of processes and develop control guidance documentation materials.
   • Respond to internal control matters identified in internal and external audits.
   • Serve as a knowledgeable resource for internal controls, providing guidance and instruction to ensure compliance with company policies, procedures, and methodology, including requirements for SOX compliance.
   • Ensure that all compliance and process improvement activities follow the appropriate change management, governance, and documentation requirements.
   • Execute implementation plans for new tools and processes for internal controls compliance, which allows achievement of compliance objectives in an effective and cost-efficient manner.
2. Other Accountabilities:
   • Perform numerous special projects, research assignments, and financial analyses and financial model creation as directed by the SOX Manager.  
   • Facilitate key meetings with process owners and other stakeholders as needed.

Prerequisites

Experience:

• 5+ years related experience, internal audit and/or public accounting background preferred
• Proven knowledge of sound internal control principles along with demonstrated ability to provide solutions to control issues. 
• Proven ability to work with individually and within a team environment, build strong relationships and maintain rapport with cross-functional Business Unit and Corporate teams.

Education:

• Bachelor’s degree in a business discipline or Information Systems. MBA preferred.
• Ideal candidate will have professional certifications in Accounting/Audit (CPA, CIA, or CMA),

Skills: 

• Strong leadership and team-building skills
• Ability to influence/persuade senior managers, business partners and key stakeholders
• Strong communication and presentation skills
• Strong project management abilities.
• Ability to manage details on multiple concurrent tasks while meeting various deadlines.
• Takes full accountability and effectively identifies and drives problem solving opportunities
• Demonstrates initiative and drives for results
• Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
• Proficient in MS Office Suite of programs.
• Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 20%).

Internal Controls Specialist – Tools Reporting

Purpose

Responsibilities include analyzing, designing, documenting, monitoring, and maintaining an effective and efficient Sarbanes-Oxley (SOX) internal control environment in accordance with company policies and procedures.   This position requires effective project management, recommendation of process improvements, and proactive follow-through and coordination with key stakeholders across the enterprise.

Accountabilities

1. Lead process design, documentation and improvements:
   • Provide appropriate guidance for internal controls compliance and related process improvements for process owners, control owners, and other stakeholders
   • Assist with designing standardized processes and controls and related documentation where DPSG policies do not exist.
   • Develop action plans for ongoing maintenance and monitoring of internal controls in accordance with established company policies and procedures and regulatory requirements, including the Sarbanes-Oxley Act.
   • Recommend and implement process improvement solutions, which result in greater controls efficiencies and effectiveness.
   • Develop associated communication, education and training to advance the ability of our user community to leverage these improvements.
   • Provide consolidation, analysis and report preparation of results for senior management.
   • Provide enhancements, process documentation, training and awareness materials and communication vehicles.
   • Assist with the design and implementation of internal controls training for control owners and audit staff.
   • Conduct walk-throughs of processes and develop control guidance documentation materials.
   • Respond to internal control matters identified in internal and external audits.
   • Serve as a knowledgeable resource for internal controls, providing guidance and instruction to ensure compliance with company policies, procedures, and methodology, including requirements for SOX compliance.
   • Ensure that all compliance and process improvement activities follow the appropriate change management, governance, and documentation requirements.
   • Execute implementation plans for new tools and processes for internal controls compliance, which allows achievement of compliance objectives in an effective and cost-efficient manner.
2. Other Accountabilities:
   • Perform numerous special projects, research assignments, and financial analyses and financial model creation as directed by the SOX Manager.
   • Facilitate key meetings with process owners and other stakeholders as needed.

Prerequisites

Experience:

• 5+ years related experience, internal audit and/or public accounting background preferred
• Proven knowledge of sound internal control principles along with demonstrated ability to provide solutions to control issues. 
• Proven ability to work with individually and within a team environment, build strong relationships and maintain rapport with cross-functional Business Unit and Corporate teams.

Education:

• Bachelor’s degree in a business discipline or Information Systems. MBA preferred.  
• Ideal candidate will have professional certifications in Accounting/Audit (CPA, CIA, or CMA),

Skills:

• Strong leadership and team-building skills
• Ability to influence/persuade senior managers, business partners and key stakeholders
• Strong communication and presentation skills
• Strong project management abilities.
• Ability to manage details on multiple concurrent tasks while meeting various deadlines.
• Takes full accountability and effectively identifies and drives problem solving opportunities
• Demonstrates initiative and drives for results
• Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
• Proficient in MS Office Suite of programs.
• Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 20%).

To apply to any of the positions above, please send resumes to: Rhonda.Merchant@dpsg.com.

Equal Opportunity Employer
M/F/D/V

The University of Texas Health Science Center at Tyler  (5/21/08)

Senior Auditor
The University of Texas Health Science Center at Tyler
Tyler, Texas

A Senior Auditor provides customers with professional risk assessment and auditing skills while participating in engagements of assigned organizational and functional activities to evaluate management control over those activities.

Responsibilities

• Determines whether organization units are performing their planning, accounting, custodial, and/or control activities in compliance with management instructions, applicable statements of policy and procedures, consistent with both University of Texas System and UTHSCT objectives and administrative practice standards.
• Plans and executes complete reviews of limited audit assignments, or conducts portions of reviews of extensive audit assignments, in accordance with accepted professional standards.
• Determines or assists in determining the direction, theory, scope, and procedures utilized for the proposed audit program.
• Identifies key control points of the systems reviewed.
• Obtains, analyzes, and appraises evidentiary data as a basis for an informed, objective opinion of the adequacy and effectiveness of the system and the efficiency of the performance of the activities being reviewed.
• Makes presentations to management during and at the conclusion of the examination, discussing deficiencies and recommending corrective actions to improve operations and reduce cost.
• Assists in preparing or prepares formal written reports, as requested, expressing opinions on the adequacy and effectiveness of the system and efficiency with which activities are carried out.
• Appraises, or assists in appraising, the adequacy of the corrective action taken to improve deficient conditions.
• Performs or assists in the performance of special reviews at the request of management.
• Directs the activities of team members when assigned.
• Other duties as assigned.

Professional Qualifications

• Bachelor’s degree in business related areas of study preferred but will accept bachelor’s degrees in other disciplines with four (4) years or more of auditing experience.
• Three (3) years of internal auditing experience in an academic medical institution or healthcare organization preferred or four (4) years of general internal/external auditing experience required.
• Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) preferred.
• A successful candidate without certification will be required to demonstrate positive progress towards obtaining at least one preferred certification.

Compensation

The University of Texas Health Science Center at Tyler offers a competitive salary and state benefits package to include medical/dental/eye care plan (including family coverage), state retirement, life insurance, cafeteria plan for childcare and medical, disability benefits, excellent vacation accrual, sick time, and state holidays.  Relocation assistance is available for candidates moving over 100 miles.

Contact Information

Interested candidates may apply on-line via the web at www.uthct.edu.  Find the “Careers” link, then go to “Start Job Search”, select “Career Opportunities”, and in the drop down menu on the next page find the listing for Senior Auditor.

For more information contact The University of Texas Health Science Center at Tyler:

Human Resources Main Line:  (903) 877-7740
Human Resources Fax:  (903) 877-7729

Specific job requirements or physical location of some positions allocated to this classification, may render this position security sensitive, and thereby subject to the provisions of Section 51.215, Texas Education Code.  The University of Texas Health Science Center at Tyler is an EEO/AA Employer M/F/V/D.

Cadbury-Schweppes  (4/22/08)

Manager, Corporate Audit

Purpose

In Cadbury Schweppes we work together to create brands people love. You will contribute to this by managing corporate audit assignments and assisting with Sarbanes Oxley (SOX) compliance throughout the company. You will provide assistance in generating recommendations that improve internal controls, add value and/or create greater efficiencies with respect to operations and financial reporting. Ensure appropriate utilization of audit resources and completion of assigned projects on schedule.  There will be frequent exposure to senior management throughout the organization. 

Accountabilities

• Assist the Director of Corporate Audit in performing company-wide annual risk assessments and preparation and execution of the annual audit plans
• Responsible for managing complex audits; performing critical project management duties in the planning, scheduling, coordinating, reviewing and reporting of the work of audit teams; and providing expertise in auditing standards and performance criteria, audit requirements, and information technology skills
• Manage assignments related to operational auditing, financial auditing, and SOX compliance
  Maintain Corporate Audit independence and objectivity in all assignments while developing and maintaining effective and value-adding business partnerships
• Develop and execute corporate audit procedures, schedules, priorities and programs for achieving audit objectives and goals
• Functioning at varied levels including “hands-on” detail work
• Preparing audit reports using sound writing skills
• Participate in special assignments as deemed necessary by the Director or VP of Corporate Audit, management, and/or the Audit Committee
• Ensure that recommendations are clearly presented to and agreed to by management and that a subsequent audit report is issued promptly
• Ensure that all agreed recommendations are subsequently implemented
• Stay abreast of best practices and provide conduit for introducing those practices to the company

Pre-Requisites

Experience:

• Five or more years of accounting and auditing experience, including at least two years of managerial experience, with a minimum of three years of public accounting and/or internal audit experience; large public company experience preferred
• Experienced with SOX and risk assessment methodologies
• Information systems audit experience a plus

Education:

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

Skills:

• Strong leadership and team-building skills
• Ability to influence/persuade senior managers, business partners and key stakeholders
• Strong interpersonal skills – ability to work closely with people at all levels of the organization and facilitate the implementation of corrective action
• Takes full accountability and effectively identifies and drives problem solving opportunities
  Demonstrates initiative and drives for results
• Excellent verbal and written communication and presentation skills
• Project management experience
• Strong written and verbal communication skills to conduct meetings and discussions with senior management and the Audit Committee
• Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
  Proficient in MS Word, Excel, Visio, and PowerPoint.
• Ability to work in all types of environments from manufacturing plants and distribution centers.
  Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 40%)

All interested candidates can email their resumes to Rhonda.Merchant@cs-americas.com

Equal Opportunity Employer
M/F/D/V

Sr. Corporate Auditor

Purpose

In Cadbury Schweppes we work together to create brands people love. The Senior Corporate Auditor will execute corporate audit assignments and assist with Sarbanes Oxley (SOX) compliance throughout the company. Assist in providing recommendations that improve internal controls, add value and/or create greater efficiencies with respect to operations and financial reporting. Work with key audit resources to complete assigned projects on schedule.  There will be some exposure to senior management throughout the organization

Accountabilities

• Assist the Manager of Corporate Audit in performing company-wide annual risk assessments and preparation and execution of the annual audit plans
• Responsible for executing complex audits; assist in the performance of critical project management duties including the planning, scheduling, coordinating, reviewing and reporting of the work of audit teams; and providing expertise in auditing standards and performance criteria, audit requirements, and information technology skills
• Execution of assignments related to operational auditing, financial auditing, and SOX compliance
  Maintain corporate audit independence and objectivity in all assignments while developing and maintaining effective and value-adding business partnerships
• Assist in the developing and executing of corporate audit procedures, schedules, priorities and programs for achieving audit objectives and goals
• Preparing audit reports using sound writing skills
• Participate in special assignments as deemed necessary by the Manager of Corporate Audit and management
• Ensure that recommendations are clearly presented to and agreed to by management and that a subsequent audit report is issued promptly
• Ensure that all agreed recommendations are subsequently implemented;
• Stay abreast of best practices and provide conduit for introducing those practices to the company

Pre-Requisites

Experience: 

• Three or more years of accounting and auditing experience, including at least one year of supervisory experience, with a minimum of two years of public accounting and/or internal audit experience; large public company experience preferred.
• Experienced with SOX and risk assessment methodologies;
• Information systems audit experience a plus

Education:

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

Skills: 

• Demonstrated team skills
• Demonstrates initiative and drives for results
• Takes accountability for scope of control
• Strong interpersonal skills – ability to work closely with people at all levels of the organization and facilitate the implementation of corrective action;
• Project management experience strongly desired;
• Ability to influence business partners and key stakeholders
• Excellent verbal and written communication and presentation skills
• Excellent organization and documentation skills and the ability to thrive in a fast-paced environment
• Proficient in MS Word, Excel, Visio, and PowerPoint.
• Ability to work in all types of environments from manufacturing plants and distribution centers.
• Willing to travel to locations throughout the U.S., Mexico and Canada (approx. 50%);

All interested candidates can email their resumes to Rhonda.Merchant@cs-americas.com

Equal Opportunity Employer 
M/F/D/V

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