eNews - September 2011

The President’s Letter

Greetings Dallas Chapter of the IIA and welcome to the 2011/12 chapter year.  The Officer Team and I have several fresh new goals and plans for the upcoming year that will hopefully be met with great excitement from our membership.  However, before we officially leave the 2010/11 chapter year, I wanted to call your attention to a couple of great achievements from last year.

First, the Dallas Chapter again achieved the Platinum performance level for the 2010/11 chapter year.  The Platinum level is a special award for those chapters that have achieved the Gold performance level (1,560 chapter achievement points) for 10 of the last 11 consecutive years.  The Dallas Chapter has achieved the Platinum level every year it has been eligible since the inception of the award, and we certainly will strive to keep that streak going this year.

Second, The IIA Research Foundation sponsors a research competition for IIA Chapters and Institutes, the Donald E. Ricketts Award.  Each submitted research project is evaluated on quality of work, interest and practical value, topic originality, and basis for further research.  The Dallas Chapter’s submission, Internal Audit's Value Addition Approach - A Study in the Dallas-Fort Worth Area was awarded second place for the 2010/11 year and I was proud to accept that award on behalf of the chapter at this year’s IIA Leadership Academy.  Thank you and congratulations to the Research Committee for another award winning performance!

Turning to our current year, I’m proud to say that we kicked off with an excellent showing at the Almost Free Seminar, which was sponsored by Ernst & Young and hosted by our 2nd Vice President, Shakeya McDow.  The event was successful on all fronts and was very well attended.  Thanks again to our volunteer team, Ernst & Young, and The University of Texas at Dallas for your efforts in putting on another great event.

Our monthly meetings will begin with our Academic Relations Day on Thursday, September 1st at CityPlace and we will have consecutive monthly meetings straight through to May 2011.  We have nearly confirmed all speakers for the entire chapter year, which is no small feat considering that we offer 3 hours of CPE and generally 4 separate speakers each month.  We have some excellent topics and renowned speakers on the slate this year, which I know you’ll be very pleased with.

A new idea that we will pioneer this year is a monthly “CAE Spotlight”, in which we will feature a CAE from different industries each month who will spend about 5 to 10 minutes during the luncheon introducing themselves, their company, their department structure, activities, and best practices.  We think this will be well-received by the membership and will serve to increase CAE involvement in the chapter.

In closing, please consider getting more involved and volunteering in the Dallas Chapter this year.  Everything we do could not be done without the devoted efforts of volunteers and we’d love you to be a part of that experience.  Please contact Marc Winandy, Volunteer Coordinator, at marcwinandy@yahoo.com if you would like to volunteer for the 2011/12 chapter year.

Sincerely,
Brian Amend
2011/12 President – Dallas IIA
president@dallasiia.org

September Meeting
Thursday the 1st
Cityplace Conference Center

Increasing Your Value

Meeting 12:00pm - 1:30pm
Registration begins at 11:30pm

Finding the Next Superstar . . . Recruiting and Retaining MVPs
Steve Goepfert, CIA, CPA, Vice President Internal Audit (CAE), United Airlines, Inc.

Objectives: The traditional recruiting approach no longer secures top candidates. It’s time for a new tactic. So what do you do? United Airlines’ internal audit department has developed effective strategies for attracting, identifying and retaining key talent – including the C3 formula: culture, compensation and cooperation.

The purpose of this session is to provide ideas and strategies to help your organization secure the best talent no matter what industry you’re in.

Steve Goepfert is the Vice President - Internal Audit (Chief Auditor) for United Airlines in Chicago, Illinois. He assumed the role after the merger of United and Continental. He had previously been Chief Auditor at Continental Airlines for 21 years.

He was the 2006-2007 Chairman of the Board for the Institute of Internal Auditors, Inc. (IIA). He previously served as Senior Vice Chairman and Vice Chairman – Professional Services and is a past President of the Houston Chapter (1999-2000), and served on its Board since 1994. Steve has held industry audit posts including Chairman of the International Association of Airline Internal Auditors (IAAIA) in 1996 and Chairman of the Air Transport Association of America (ATA) Audit Panel in 2003.

Steve is a member of the LSU Center for Internal Auditing Advisory Board and serves or has served on the Texas A&M, University of Texas at Austin, University of Houston and Southern Illinois University at Carbondale Accounting Advisory Councils.

A CIA and CPA, he started his career with the Big 8 firm of Coopers & Lybrand, where he worked for over 5 years. Steve graduated with highest honors from Southern Illinois University. He was inducted into the SIU College of Business “Hall of Fame” in April 2010.

1 Hour Continuing Legal Education


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

Writing an Audit Finding
Danny M. Goldberg, Professional Development Practice Director, Sunera

Objectives:  Writing an audit finding is a fine art and, once perfected, can significantly affect the value of an audit. This one hour course will cover the basics of writing a finding, including the:

  • Criteria
  • Condition
  • Cause
  • Effect
  • Recommendation
  • Action Plan

Danny M. Goldberg is the Professional Development Practice Director at Sunera, an international Corporate Governance, Risk Management and Regulatory Compliance firm. Prior to joining Sunera in January 2011, Danny founded SOFT GRC, an advisory services and professional development firm. Danny has over 13 years of audit experience in the Dallas Fort Worth area, including five as a CAE/Audit Director at two diverse companies. He has the rare experience of being an integral part/leading the Year One SOX Compliance efforts at three companies in the DFW area. Additionally, he has assisted in leading the establishment of three internal audit/SOX departments.

Prior to founding SOFT GRC, Danny was the Director of SOX Compliance and Corporate Audit at Dr Pepper Snapple Group, where he led the Year One SOX Compliance efforts. Prior to his tenure at Dr Pepper, Danny started the internal audit department at Tyler Technologies, a publicly traded technology company.

Prior to his experience at Tyler, Danny was also part of the Year One SOX Compliance team at Tenet Healthcare, where he assisted the end-to-end compliance efforts. Danny began his career at Arthur Andersen and is a graduate (BS – Accounting, 1997, MS – Finance, 1998) of Texas A&M University.

Danny has served on the board of directors of a non-profit organization and the audit committee of a large independent school district in DFW. Danny currently serves on the Dallas Leadership Board of the American Lung Association and is the IIA Dallas Chapter Programs Committee Co-Chairman for the 2011-2012 year.

Danny is accredited as the professional commentator on the publication BNA Tax and Accounting Portfolio, Internal Auditing: Fundamental Principles (Accounting Policy and Practice Series), which is authored by renowned audit scholars Curtis C. Verschoor and Mort A. Dittenhofer – co-author of Sawyer’s Internal Auditing.
He has also published numerous articles in trade magazines over the past four years, including:

  • ISACA Journal (General Auditing for the IT Auditor: An Overview, May 2011)
  • The Audit Report (11 Hot Topics for 2011, March 2011)
  • Dallas Business Journal (The Yes Man Phenomenon, January 2011)
  • New Perspectives (Sell Your Work: How to Deliver Best Practice Audit Reports, December 2010)
  • Internal Auditor (CAE’s as A/C Members: It Just Makes Sense, October 2010)
  • The Audit Report (Cover Article – How the Recession is Changing Internal Audit, June 2010)
  • ISACA Journal Online (Is it time to Automate SOX?, December 2009)
  • Internal Auditor (The SOFT Approach to Auditing, August 2007)
  • Internal Auditor (A Focus on High-Risk Controls, December 2007)

Danny is a well-known speaker across the nation at numerous IIA and ISACA sponsored events. He has spoken on a number of subjects over the past four years, from one hour lunch seminars to multiple day seminars (all speaking events are accredited as CPE hours). Major conferences that Danny has/will speak at in 2011 include:

  • 51st Annual Chicago IIA Spring Seminar (featured presenter)
  • Michigan Association of CPA’s Annual Healthcare Conference
  • 22nd Annual ACFE Fraud Conference
  • Texas Society of CPA’s Texas School District Accounting and Auditing Conference
  • News Media Internal Auditors Annual Conference (featured presenter)
  • 2011 IIA Omaha District Conference
  • 2011 IIA Midwestern Regional Conference

Danny is a Certified Public Accountant, Certified Internal Auditor, Certified Information Systems Auditor, Certified in the Governance of Enterprise Information Technology and has obtained his Certification in Control Self-Assessment. He is married with a son and daughter and lives in Plano, Texas.

1 Hour Continuing Education


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

A Panel Discussion on the IA Profession

Objectives: With recent economic developments, uncertainty in the job market and the forever changing demands of the audit and compliance universe, a number of questions linger on the state of our profession. If you are a recent graduate, or a new entrant to the profession, your list of concerns may be endless. A panel of professionals, with diverse backgrounds and experiences, will be available to address these concerns and more.

The purpose of this session is to discuss:

  • Job Market
  • Career choices within the profession
  • Certification and developmental opportunities
  • Additional questions raised by the participants

The moderator for this session will be Brian Amend, Managing Director, Sunera Management Consulting. Panelists for this session include:

  • Dennis McGuffie, Vice President of Audit Services, Tenet Healthcare Corporation
  • Debbie McKibben, Partner, PriceWaterhouseCoopers
  • Rory Rahn, Auditor, VHA
  • Mark Salamasick, Director of Center for Internal Auditing Excellence, University of Texas at Dallas School of Management

1 Hour Continuing Education


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

Business Etiquette: How to Walk, Talk and Act Like a Professional
Beth Williams, Inclusiveness & Diversity Leader at E&Y

Objectives:  The purpose of this meeting is to learn the do’s and don’ts of how to conduct yourself in the business world. From that initial interview with a company to conducting business over lunch Beth will guide you through common pitfalls regarding proper etiquette in the workplace.

Beth Williams currently serves as Ernst & Young's Southwest Area's Inclusiveness & Diversity Leader.  In her role, Beth works across the 12 offices in the region to foster and maintain a diverse workplace culture where all EY people can achieve their potential.  Over her 12 years at the firm, she has been part of the HR team as a recruiter, HR generalist, and retention specialist.  These positions gave her the expertise in 2006 to become the leader of the D&I efforts working primarily on assisting leadership with the creation of the strategy and execution plan to continue to create an inclusiveness environment at Ernst & Young through mentoring, counseling, teaming, People Resource Networks, and other initiatives.  She also works directly with the firm's Americas Vice Chair of People as the Project Manager for the People Advisory Forum, a cross section group across the firm to give feedback about people efforts across the Americas.

Beth grew up in a small town in Southeast Arkansas; she graduated with honors from University of Arkansas and moved to Dallas in 1996.  She worked for a marketing firm and Information Technology recruiting firm prior to Ernst & Young.  She enjoys spending time with family and friends.


Meeting Location

Cityplace Conference Center,
2711 North Haskell Street, Dallas, Texas 75204


View Larger Map

Preferred Method:

Place and confirm your reservation via the web site at http://www.dallasiia.org/Reserve_0911.htm.

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 PM on Friday, August 26, 2011.

Chapter News

IIA Research Foundation

The IIA Research Foundation has issued a report available for free download entitled Internal Auditing's Role in Risk Management.  Increasing economic pressures are moving organizations to increase the effective of risk mitigation efforts and focus on a more holistic approach to risk management.  As a result, the role of internal auditing in risk management is focused on ways to identify and assess the organization’s strategic risk.

Using risk management tools and mining data from recent surveys, researcher Paul Sobel shows readers how to move their organizations forward, providing internal auditors with the skills needed to keep pace with evolving roles in risk management.

The report can be downloaded free of charge from The IIA Web site at http://www.theiia.org/bookstore/product/internal-auditings-role-in-risk-management-1561.cfm.


CIA Programs

CIA Review Course

The Fall CIA Review Course, led by Dr. Glen Sumners, will be held October 7-10, 2011 at the UT Dallas School of Management.  Registration information will be available this summer.  See website at http://dallasiia.org/Certifications.htm for updated registration information.

Honoring Dallas Chapter New CIA’s and CCSA’s

The Dallas Chapter will honor those completing their certification requirements between January and March 2011 at the September 2011 luncheon.  Certificates will be mailed by the Institute of Internal Auditors.  Honorees will be contacted in August with further details on how to register for the luncheon.

Frequently Asked Questions

Q: I haven’t received my certificate yet – where is it?
A: The IIA sends out certificates to a Dallas Chapter representative each quarter.  Those passing the exam between April and June 2011 should be received around July 2011.

If you do not receive your certificate by the above dates, contact the IIA’s certification department: certification@theiia.org, or call +1-407-937-1100.  In many instances, certificates are not received until the experience and education requirements are met.
Q: How do I register for the exam?
A: For more information, please visit the IIA’s website at http://www.theiia.org/certification/.

http://som.utdallas.edu/iaep
Internal Audit Endowment Reception – September 9, 4 to 6 PM

With the beginning of the new school year we are hosting a reception for the endowment campaign for the Center for Internal Auditing program at UTD.    All Dallas IIA Chapter members are welcome to come enjoy guest speakers, meet with current and alumni students and hear about recent developments in the program.  The reception will be in the Executive Education Dining area of the School of Management and all are welcome.

This is only the second program worldwide to set up a separate endowment specifically designated for internal audit.  With support from the Dallas IIA Chapter along with major corporations throughout Texas this endowment was established to ensure the long term support and continuance of the internal audit program at The University of Texas at Dallas.

To better be able to plan for the event please RSVP at 972-883-2757 with your name and company.  Details about the endowment can be found at http://som.utdallas.edu/iaep/fund.  Please save the date on your calendars and more details will be coming in the upcoming week.


Membership Updates

The Dallas IIA Chapter would like to extend a warm welcome to our new members who joined the Chapter since Summer 2011:

September 2011 New Members

Alan H. Tisser
Alvaro Lechler
Amtul Obaid
Anabele Boyd
Anna Kathleen Hudnall
Audrey Carman
Braam DePace
Britany DeBardeleben
Carl Manora
Charles Epperson
Chase Johnson
Christopher Martino
Cologne Anderson
Dana Linn
Darin Benck
Debra L. Hetrick
Donna L. Paltjon
Edgardo Canales
Elizabeth Hill
Gary D. Lyles
Gillettie Ravin
Habibe Fulya Bayolken
Heather Segura

Jace Duet
Jana arsen
Janice Harris
Janice M. Willis
Jason Holzer
Jason Laning
Jeremie Castleberry
John Ayvas
John Van der Wiel
Jonathan Dixon
Jonathan Dorsey
Jonathan Sorenson
Joseph Tabuena
Joseph C. Morgenstern
Josh Hans
Karissa Nicole Gilbert
Kristina Schoemann
Kristy Chauvin
Laura Farmer
Linh Truong
Lisa A. Bergman
Lornah Ogola
Matt Fulmer

Matt Nowell
Matthew C Hanna
Matthew O. Stoltzfus
Minhaz Mohammed Ali Lakhani
Nicole Burnett
Nikki Griffin
Opeyemi Ola
Peter Volkmer
Rachel Nibbe
Robert E. Carr
Robin Scott
Samuel Loera
Sara Elizabeth Ciccotelli
Sarah Mosley
Susie Hobbs
Susan Wertheim
Sushil Karki
Thomas Hillman
Twana M. Banks
Wayne Terry
Wesley Strother
William Dirickson

Please look for the monthly eNews (electronic newsletters) as a source of information for future events within the Dallas Chapter and other internal audit related news. If you have any questions regarding your membership or need additional information about the Dallas Chapter, please feel free to contact the Membership Chair (membership@dallasiia.org).


Spring 2011 Membership Challenge

Congratulations to Jonathan Dixon, the 2010-2011 Membership Challenge winner of a brand new iPad!  Thanks for your participation!

Look for new membership challenges, coming soon to an IIA chapter near you…


New Ways to Network



NEW!! The Dallas IIA Chapter is now on Twitter. Follow us at ... @thedallasIIA

The Dallas IIA launched a Facebook and LinkedIn group. Brought to you by the membership committee, these tools will allow you another avenue to grow your online network, communicate with other Dallas IIA members, and stay on top of current chapter events. LinkedIn is geared to professional networking; Facebook is used for both professional and social networking; and Twitter is geared toward professional and social networking as well as providing up-to-date information to our members.

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

Report Your Speaking and Writing

It's time again for the survey to determine which IIA Dallas Chapter members have submitted articles or spoken since June 1, 2011.  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 31, 2011.

Seminars

Save on IIA Seminars in Dallas This October

IIA Seminars are coming to Dallas, October 4 – 8, 2011. We know that budgets are tight and travel costs are limited, so, we’re excited to offer 14 of our most popular seminars in Dallas.

Log in and Register TODAY or call an IIA Customer Service Representative at +1-407-937-1111.

Don’t Forget …
Attend the next Dallas Chapter meeting and you may be eligible to win a free IIA CIA Learning System valued at US $745! The IIA’s CIA Learning System is an interactive print and Web-based program that teaches the entire CIA exam syllabus in an interactive and convenient format. It is the first CIA preparation program offering content and questions that are aligned with the IPPF. For more information or to try a free demo, visit www.LearnCIA.com.


Register today for The IIA’s Midwestern Regional Conference!

2011 Midwestern Regional Conference
September 25 – 28, 2011
Hilton Milwaukee City Center
www.theiia.org/mrc2011

Milwaukee is the place to be to “Make a Splash and Spread Audit Knowledge” for the Midwest’s most in-demand training event.

Optional pre-conference teambuilding events on Sunday include the Susan G. Komen Race for the Cure and a Milwaukee Brewers baseball game with reserved seating for IIA conference guests. Visit the Website for details and to register.

On Monday, IIA President and CEO Richard Chambers will kick off the conference with the first of a record-breaking 8 general sessions on “Internal Auditing in 2011: Trends, Opportunities, and Challenges.” Then you can hand-pick your concurrent sessions from 18 available in tracks focusing on governance and ERM; technology auditing and emerging issues; legal and regulatory compliance; leadership, communication and people skills; Excel; and CIA exam preparation.

Tuesday will feature a panel discussion on world-class internal audit as well as a general session by Susan G. Komen for the Cure executives Vanessa Hewitt and Mark Nadolny. Eighteen additional concurrent sessions will be offered on topics including:

  • Managing the Risks and Rewards of Social Networking Websites
  • Audit 2020: The Direction of Internal Audit Over the Next Decade
  • The Risk Intelligent Auditor: Surviving and Thriving in Uncertainty

Three general sessions on Wednesday concludes the event featuring recognized speakers who will educate and inspire you to exceed expectations . . . Abdue Chowdhurty from Marquette University; Rich Meeusen, a CEO and Audit Committee Chair; and John Blumberg, a motivational speaker and author.

Other conference benefits include:

  • A CIA review track that will prepare you to pass the exam by using The IIA’s CIA Learning System.
  • An exclusive track focusing on issues critical to CAEs.
  • Pre-conference workshops on auditing financial services and automating audit with IDEA, and CIA review.

Visit www.theiia.org/iia-training/conferences/2011-mrc-about/ or call +1-407-937-1111 for further details and to register now to save your seat (and don’t forget your running shoes for the race and your foam finger for the baseball game).

Employment Opportunities

Tenet  (8/9/11)

Manager, Audit Services - #1105013791

Tenet, through its subsidiaries, owns and operates acute care hospitals and numerous related health care services. Our mission is to be recognized for our commitment to our people and partners who provide quality, innovative care to the patients we serve in our communities. It's a spirit you can experience first-hand and it's a philosophy that can enhance your own approach to health care and your career goals.

Description:

The Manager, Audit Services position was established to assist management in identifying, analyzing and managing risks and opportunities, including:

  • Assisting with periodic risk analyses to facilitate identification of audit projects.
  • Development of project-level plans based on overall risk assessment results.
  • Conducting work in the field and in the office to accomplish audit objectives identified during risk analyses.
  • Conducting audit follow-up activities.
  • Communicating results of audit projects to management and operations personnel directly involved with department projects, and as requested, to company senior management and the Audit Committee of the Board of Directors.
  • Adhering to the department's quality assurance process for planning, analysis, and documentation and reporting on all audit projects.
Qualifications: 

Bachelors and/or Masters degree business or healthcare related field, prefer accounting or audit.
Minimum five years audit/accounting experience, preferably audit/accounting in healthcare.
Professional certification (CPA, CIA or CISA) required.
Excellent interpersonal and communication skills, written and verbal.

Proficient in Microsoft Office software programs.

Job: Corporate
Primary Location: TX-Dallas

To apply, go to www.teamtenet.com click on “Corporate” and search for Job number 1105013791


Federal Reserve Bank of Dallas  (8/5/11)

JOB POSTING NOTICE
Federal Reserve Bank of Dallas

LOCATION:  Dallas
JOB NUMBER #:  309
DEPARTMENT:  Audit
TITLE:  IT Auditor
MINIMUM SALARY:  Market Priced

Primary Responsibilities
This position is responsible for auditing the processes, procedures and controls integrated into applications during development and in production; reporting on the state of compliance with policies, procedures and standards; and establishing and maintaining relationships with business units.  This position will also interact with various levels of management, other Federal Reserve System auditors, and external parties.

Responsibilities include:
  • Develop and execute audit objectives/procedures to assess controls for new or existing IT assets/systems/processes, including developing criteria, reviewing and analyzing evidence; identifying and defining issues; documenting work in compliance with standards; making sound recommendations to enhance controls and efficiency; and reporting on results.
  • Serve as auditor-in-charge of or assist on audit engagements.  As the auditor-in-charge, will direct and review the work of other audit team members to ensure compliance with departmental procedures and the Institute of Internal Auditors International Standards for the Professional Practice of Internal Auditing.
  • Employ Federal Reserve endorsed risk assessment methodologies to gauge risks and drive work plans.
  • Review new and existing standards, regulations, guidance, best practices, policies and customer initiatives to maintain expertise and add business value.
  • Conduct data extraction, analysis, and security reviews utilizing software tools.
  • Interface with all levels of management to assess operations and communicate results.
  • Work with various groups to follow-up on issues until appropriately resolved.
  • Build business relationships and act as an audit subject matter expert in assisting business owners.
Job Requirements
  • Bachelor’s degree in Computer Science, Information Systems, Accounting/Finance, or a related discipline.
  • Experience conducting risk assessments.
  • Experience conducting SDLC reviews.
  • Experience with current legal and regulatory requirements and guidance related to information security (e.g., SOX, FISMA, NIST, NSA, FDCC, ITIL, etc.)
  • Proven ability to work on and lead audit engagement teams, devise and perform complex analyses, and prepare documentation which establishes objectives, issues, options, and recommendations.
  • Strong understanding of system security (Microsoft Windows Server/AD/XP/Vista/7, Linux/UNIX, SQL, Oracle, SharePoint and WebSphere platforms).
  • Strong understanding of IT controls, vulnerabilities, and assessment tools.
  • Excellent interpersonal skills and the ability to work effectively as part of a team.
  • Excellent written and oral communication and presentation skills.
  • Superior organizational and time management skills.
  • CISA, CISSP, MCSE, CPA, CIA or other related professional certification is a plus

LOCATION:  Dallas
JOB NUMBER #:  310
DEPARTMENT:  Audit
TITLE:  Auditor
MINIMUM SALARY:  Market Priced

Primary Responsibilities
This position is responsible for auditing the processes, procedures and controls within various business lines but with an emphasis in Financial Management; reporting on the state of compliance with policies, procedures and standards; and establishing and maintaining relationships with business units.  This position will also interact with various levels of management, other Federal Reserve System auditors, and external parties.

Responsibilities include:
  • Develop and execute audit objectives/procedures to assess controls for new or existing operational areas primarily in the Financial Management business line, including developing criteria, reviewing and analyzing evidence; identifying and defining issues; documenting work in compliance with standards; making sound recommendations to enhance controls and efficiency; and reporting on results.
  • Employ Federal Reserve endorsed risk assessment methodologies to gauge risks and drive work plans.
  • Serve as auditor-in-charge of or assist on audit engagements.  As the auditor-in-charge, will direct and review the work of other audit team members to ensure compliance with departmental procedures and the Institute of Internal Auditors International Standards for the Professional Practice of Internal Auditing.
  • Build business relationships and act as an audit/internal controls subject matter expert in assisting business owners in the Financial Management arena.
  • Review new and existing standards, regulations, guidance, best practices, policies and customer initiatives to maintain expertise and add business value.
  • Conduct data extraction, analysis, and security reviews utilizing software tools.
  • Interact with all levels of management to assess operations and communicate results.
  • Work with various groups to follow-up on issues until appropriately resolved.
Job Requirements
  • Bachelor’s degree in Accounting or a related discipline.
  • Working knowledge of Lawson Financials Software or extensive knowledge of generally accepted accounting principles.
  • Experience conducting operational, financial and IT audits.
  • Experience conducting risk assessments.
  • Working knowledge of Sarbanes-Oxley legislation and associated public accounting standards.
  • Proven ability to work on and lead audit engagement teams, devise and perform complex analyses, and prepare documentation which establishes objectives, issues, options, and recommendations.
  • Strong understanding of financial and operational controls, vulnerabilities, and assessment tools.
  • Excellent interpersonal skills and the ability to work effectively as part of a team.
  • Excellent written and oral communication and presentation skills.
  • Superior organizational and time management skills.
  • Experience with Lawson Financials, PeopleSoft, or ImageNow a plus.
  • CIA, CPA, CISA or other related professional certification is a plus.


City of Garland  (8/5/11)

City of Garland, TX
Job Description 
Title:  Audit Analyst
Department:  Internal Audit

Summary

Responsible for the performing analysis of policies, procedures, financial documents and contracts to ensure accuracy of expenditures, maximization of revenues, efficiency and effectiveness of operations, and compliance with federal, state and local regulations and laws.

Essential Duties and Responsibilities include the following. Other duties may be assigned.

  1. Conduct operational and performance audits of procedures used to direct and control City assets, resources, services and products.
  2. Develop audit program and process to determine timeline, budget and resources.
  3. Perform comprehensive reviews of controls for cost of service, product and service pricing.
  4. Provide report of findings and recommendations for corrective measures in areas needing improvement.
  5. Review cost control procedures used for operating expenditures.
  6. Review the system of management controls in place to ensure that vendors and customers are in compliance with contracts.
  7. Review internal controls of payment and revenue monitoring procedures.
  8. Assist with department administration of accounts payable, budget review, meeting set-up
Minimum Qualifications
  • Four-year college degree in Accounting, Finance, or Business
  • 2 years related experience,
    Or an equivalent combination of education and experience sufficient to successfully perform the essential functions of the job.
Preferred Qualifications

Education/ Experience:

  • Master’s degree in Accounting, Finance or Business preferred
  • 2-3 years experience in government auditing
  • CPA or CIA Certification highly preferred

Knowledge, Skills & Abilities:

  • v  Basic knowledge of Generally Accepted Government Auditing Standards (GAGAS)
  • Basic knowledge of municipal government
  • Ability to independently perform audit analysis
  • Ability to analyze various financial and procedural information and documentation
  • Ability to complete projects within required timeline
  • Intermediate skill in Microsoft Office applications (Excel, Word, Access, PowerPoint)
Licenses and Certifications
  • Valid Class C Texas driver's license
  • CPA or CIA Certification highly preferred
Physical Requirements / Work Environment

The work environment and physical demands described here are representative of those an employee encounters while performing the essential functions of this job.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The incumbent works in a typical office environment; occasional exposure to unpleasant environmental conditions and/ or hazards. Occasional outside work performed.

To apply, please visit www.garlandtx.gov


Southwest Securities, Inc.  (8/3/11)

Auditor (IT)

Overview:

Southwest Securities, Inc. is the principal broker/dealer subsidiary of SWS Group, Inc., and is a member of the New York Stock Exchange and other major exchanges.  The firm offers a complete range of investment services through its Private Client Group offices and provides access to the capital markets through its investment banking, trading, and market making activities.  Southwest Securities, Inc. is the largest full-service NYSE member firm based in Texas.  The common stock of the firm's parent company is listed on the NYSE under the symbol "SWS".

At Southwest Securities, Inc. we are continuously focused on attracting and retaining exceptional individuals who are looking to work at a different kind of company:  people who share our work ethic, who thrive in a challenging environment, and who recognize the importance of accountability.  People who are committed to providing the highest quality of service for our clients.

SWS Group is an Equal Opportunity Employer.

Responsibilities:

The Internal Audit department is comprised of a Director, a Manager, and six employees - four audit professionals and two stock record control coordinators.

Plan and perform information technology audits across all lines of business.  Provide technical support to operational auditors for financial, operational and compliance audits.  Evaluate and prepare an annual technology risk assessment.  Bring prior knowledge and expertise in all areas of IT business controls and procedures, auditing, and SOX guidelines.

Essential Duties and Responsibilities:
  • Evaluate the efficiency and effectiveness of IT internal controls at Southwest Securities, Inc.
  • Prepare the audit scope, design, risk assessment and execution of technical audit programs.
  • Perform an array of internal audit tests, analysis, and computer aided audit techniques (CAATS).
  • Present audit findings and recommendations for corrective action to management and prepare well-written audit reports.
  • Evaluate the safeguarding of company assets, and compliance with Company policies and procedures and government agencies. 
  • Provide IT audit support on integrated financial, operational, and internal audits.
  • Provide technical expertise in key IT control areas, such as the information security, BCP, Internet, telecommunications, operating systems, etc.
  • Provide innovative and creative ideas to formulate new audit approaches.
  • Complete special projects at the request of management.
  • Assist in the development of the annual audit plan, by performing a corporate-wide technical risk assessment.
  • Maintain a high level of knowledge in information technology and internal audit.
  • Perform the annual information technology testing/coordination to ensure compliance with section 404 of Sarbanes-Oxley.
Qualifications:
  • Bachelors degree in Business, Accounting, Economics, Information Systems Management or related program.
  • Must have at least 2 years of internal audit experience.
  • A working knowledge of client/server networking, data storage, job scheduling, security, firewalls, and most Microsoft software products including operating systems, SQL, IIS, Active Directory, Excel, Word, Exchange/Outlook, and other Microsoft products.
  • In-depth understanding of automated broker/dealer, payroll/personnel, and accounting computer applications.
  • Detail oriented with ability to prioritize and perform multiple tasks.
  • Strong analytical and problem solving skills.
  • Strong organizational and communication skills and the ability to initiate projects on your own.
  • Good understanding of the COSO and COBIT frameworks.
  • Strong interpersonal skills.
  • Firm understanding of risk evaluation and internal control.
  • Excellent written and verbal communications skills.
  • CPA, CIA or CISA designation preferred
  • Financial services-industry experience a plus.
  • Prior regulatory experience with SEC, NASD, NYSE, IRS, OTS is a plus.

Please apply on-line at www.swsgroupinc.com.


Financial Additions  (8/2/11)

Financial Additions was founded in 1999 by a CPA and MBA in order to provide excellence in financial placement. Our core values of integrity, excellence, respect and productivity are the foundation of our culture and create the environment in which we work. At Financial Additions, we feel that if our core values guide our everyday actions, the result will be a level of service unequaled in the search industry. We recognize that our Company success is made up of the trust and relationships between our staff, clients, and candidates. Financial Additions takes pride in being a company that has built long-term, results-driven relationships with our valued clients and candidates. Our business directly affects people’s lives, so we take our responsibilities very seriously.

Here are just a FEW of our many open INTERNAL AUDIT positions available in the Dallas, Fort Worth and Mid-cities areas with some of our top Client Companies:

SENIOR AUDITOR- <20% travel- to $85K
Growing Energy client in Fort Worth seeks Financial auditor with 7+ yrs exp for their start-up IA group. CPA a plus!

STAFF AND SENIOR AUDITOR- NO TRAVEL REQ! - Salaries to $85K+
Our cutting-edge retail client currently has openings in their progressive Audit group located in N Dallas for a Staff (1-3 yrs + CPA) and a Senior Operational (7+ yrs ) Auditor. Big 4 exp a plus.

SENIOR AUDITOR- 30% travel to $85K
DT Dallas media client seeks Senior Auditor, Client is known for excellent tenure. CPA Pref.

STAFF IT AUDITOR- <10% travel- to $70K
N Fort Worth Technology client seeks Staff level IT Auditor- 1+ yr exp.  CISA pref.

SENIOR AUDITOR- Heavy 50%+ travel to $85K+ bonus
International Irving Client in Manufacturing industry seeks Senior Auditors that like to travel, some international travel. CPA, CIA or CISA REQ

SENIOR AUDITOR- <10% travel - to $85K + bonus
Recognized international IT, network and communications company in Irving is looking for an experienced Senior Auditor.

Please contact michelle.griffin@finadd.com for additional information
and immediate consideration.

817-313-3597

Confidentiality guaranteed!


AT&T  (8/2/11)

Senior Corporate Auditor – AT&T Audit Services

Don't miss this opportunity to join the company recognized by Fortune magazine as the World's Most Admired Telecommunications Company and ranked #2 on DiversityInc's list of 2009 Top 50 Companies for diversity.

As the largest communications company in the world, more than 120 million customers count on us every day to deliver the wireless, Internet, data and advertising services that fuel their businesses and connect them to their world. You will find yourself connecting communications and technology with opportunities that will take you to places you never imagined.

Learn more about AT&T's cutting edge opportunities with a wide range of career paths in emerging and ground breaking technologies. We're so much more than just a phone company!

Responsible for conducting and documenting moderate to complex audit projects with direction from Audit Manager. Typically an individual contributor, but may provide functional advice or training to less experienced audit staff, and run smaller audit jobs, but does not have direct reports. Audit responsibilities include the review, analysis, and monitoring of procedures and systems of internal controls within the organization. This group of professionals often works as management consultants in the review of existing systems and procedures, or in the development of new or modified systems and procedures. May also work in a limited role as an extension of the company's independent auditors. Typical responsibilities include: Conducts and documents audit projects. Prepares audit reports. Develops recommendations for improving the procedures being audited. Works on problems of diverse scope where analysis of data requires evaluation of identifiable factors. Exercises judgment within generally defined practices and policies in selecting methods and techniques for obtaining solutions. Uses skills as an experienced professional to work on problems of diverse scope where analysis of data requires evaluation of identifiable factors. Demonstrates good judgment in selecting methods and techniques for obtaining solutions.

Please send resume to g14538@att.com


Borden  (7/21/11)

Internal Auditor

Privately held multi-billion dollar and growing Dallas manufacturing company seeks an Internal Auditor.  Reports directly to the Manager of Financial Controls.

Responsibility
  1. Conduct audits of plants and departments for compliance with internal controls, GAAP and other company policies and procedures.
  2. Prepare audit risk assessment to determine audit scope, audit objective, and audit procedures audits of plants and departments.
  3. Transition the company to be Sarbanes-Oxley compliant.
  4. Track identified audit observations and monitor remediation activities.
  5. Collaborate and act as liaison between external auditors and the company to document financial controls and prepare audit schedule and risk assessment.
  6. Assist in developing standardized financial policies and procedures throughout the company.

Qualifications

  1. Undergraduate degree in accounting from recognized university and CPA designation.
  2. Prefer 3-5 years of audit experience with a public accounting firm or a robust Internal Audit Department
  3. Prefer local candidates in Dallas TX area
  4. Excellent verbal and written communication skills required
  5. Prefer Consumer Packaged Goods company experience
  6. Must be able to travel up to 30-50% of the time

Interested candidates should submit their resume to the attention of Amy Ross: aross@lala.us.com

 

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

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


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

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

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



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