eNews - September 2013

The President’s Message

Greetings Dallas IIA Chapter Members and Friends!

Please enjoy the Chapter President's Video Blog (it will start automatically after loading; 110MB):

Yours in service,

Shakeya A. McDow
2013/14 President – Dallas IIA

Thursday, September 5, 2013

IA Hot Topics

Meeting 12:30pm - 1:30pm
Lunch to start being served at 11:45
Registration begins at 11:30pm

Updates to COSO’s Internal Control - Integrated Framework
Geoffrey Woodbury, PwC Risk Assurance Director and Nicole Rodriguez, PwC Risk Assurance Manager

Objective: In May 2013, the Committee of Sponsoring Organizations of the Treadway Commission (“COSO”) updated and enhanced the widely accepted Internal Control - Integrated Framework (Framework).  The Framework was enhanced by expanding the financial reporting category of objectives to include other important forms of reporting, such as non-financial and internal reporting.  Also, the Framework reflects considerations of many changes in the business and operating environments over the past several decades since the original framework was released.

The purpose of this session is to explain the updates to the Framework and to provide recommended actions for Internal Audit departments to consider as they transition to the new Framework. 

No prerequisites required.

Geoffrey Woodbury is a Director in PwC's Risk Assurance practice based out of the Dallas office.  He has fourteen years of experience performing risk consulting engagements and evaluating business process and information technology controls.

Geoffrey has led multiple engagements, both in an external audit and consulting capacity, focusing on assessing a company's controls and providing recommendations for controls optimization using the COSO framework.  Additionally, he has managed large multi-site Sarbanes-Oxley engagements, both domestically and internationally, and helped his clients achieve SOX compliance in a consulting capacity.  Geoffrey has extensive experience performing ERP business process and configuration controls reviews and has instructed Firm ERP courses nationally.  Geoffrey's experience includes working with multiple Fortune 500 clients in a broad range of industries including Industrial Products, Retail, Energy and Pharmaceuticals.

He graduated Magna Cum Laude from Texas A&M University with a B.S. in Accounting and Masters in Management of Information Systems.  Geoffrey is a licensed Certified Professional Accountant (CPA) and Certified Information System Auditor (CISA).


Nicole Rodriguez is a Manager in PwC’s North Texas Risk Assurance Practice.  She joined the firm in July 2004 and has led several internal audit co-sourcing engagements.  She specializes in business process internal audits, including identifying and evaluating the design and effectiveness of internal controls, and Sarbanes Oxley - 404 readiness and optimization. Prior to her move to North Texas she spent four years in the NY Metro Internal Audit Practice and two years in the Houston Internal Audit practice.  Nicole has experience in the following sectors: utilities, mid-stream and downstream energy, aerospace and defense, construction and advertising.

Nicole has served as a volunteer for the Dallas Chapter of the Institute of Internal Auditors (IIA) for the last three years.  She has been actively involved in the Dallas IIA’s Programs Committee and serves as Programs Co-chair for the 2013-2014 year.  Nicole is also a member of the Lakewood Service League, a volunteer organization that supports East Dallas charities and non-profit organizations. She is currently serving her second year on the board of the Lakewood Service League.

Nicole is a Certified Internal Auditor (CIA) and holds a degree in Accounting with a concentration in Internal Audit from Louisiana State University.

1 Hour Continuing Professional Education.

CAE Spotlight 12:20pm - 12:30pm
Registration begins at 11:30pm

Higher Education Auditing – We’re Not as Old School as You Think!
Toni Stephens, Executive Director of Audit and Compliance, the University of Texas at Dallas (UTD)

Objective: The objective of this brief presentation is to provide Insight into the best practices, organizational structure and types of audits performed by an Internal Audit department within the Higher Education industry.

No prerequisites required.

Toni Stephens, CPA, CIA, CRMA, is the Executive Director of Audit and Compliance at The University of Texas at Dallas (UTD).  She received her bachelor of business administration degree in accounting from Texas A&M University. Toni has more than 20 years in internal auditing experience at UTD.  Prior to joining the university, she worked for the Texas State Auditor’s Office as an auditor.

Professionally active, Toni serves locally and nationally within several organizations. She is currently the Immediate Past President of the Association of College and University Auditors (ACUA) and has served as president, vice president, board member, professional education committee chair, and the annual conference director.  She is also a member of the ACUA faculty.  Toni is a former board member of the Dallas Chapter of the Institute of Internal Auditors, chaired the Certified Internal Auditor program, and has held several key committee leadership positions. She is an advisory board member for the UTD Center for Internal Auditing Excellence and also was on the board of directors for the Texas Association of College and University Auditors.  During the academic year, Toni conducts presentations on risk assessment and audit planning to Internal Auditing Education Partnership Program graduate students at UT Dallas. She also works with and mentors internal audit students on audits to provide them with actual audit experience.

Honors include:  ACUA Excellence in Service Award; Aaron Saylors Memorial Award for Outstanding Contribution to the Dallas IIA Chapter; 5th Grade Montclair Elementary Spelling Bee Champion

No Continuing Professional Education provided.

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

So You Think You Know SOC?
Stephanie Slate, Executive Director, Ernst & Young

Objective:  The purpose of this session is to provide a an overview of Service Organization Control (SOC) reports, to share Internal Audit SOC successes and challenges, to provide the 2013 audit risk alert for user audits and 2013 guidance changes for the service.

No prerequisites required

Stephanie Slate is an Executive Director in Ernst & Young’s Advisory Services practice.  She has over fifteen years of experience in information technology auditing and advisory services.  Stephanie has performed control assessments in a variety of computer environments, managed numerous Independent Service Auditor’s Reports (“SOC 1” report; previously known as SOC 1 reports) engagements, security assessments, data analysis projects, and pre-implementation reviews.

Stephanie serves as the Executive on numerous SOC 1 reports as well as manages the overall activities of an additional 100 SOC 1 reports annually.  This includes coordination with various global resources through remote and on-site support throughout North America, Europe, South America and the Asia-Pacific region.

She is involved with Sarbanes-Oxley serving as the Executive on external financial statement audits and as an advisor providing assistance to companies preparing for and maintaining Sarbanes-Oxley compliance including developing and execution of process documentation, risk and control matrices, gap analysis and prioritization, and evaluation of deficiencies.

Her experience encompasses various technical platforms including SAP, Oracle, PeopleSoft, Point of Sale applications, IBM mainframe, iSeries, Windows, Tandem, Linux and UNIX.

1 Hour Continuing Professional Education.

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

XBRL: What’s in it for Auditors?
Jeff Henson, CPA; Manager Finance Operations and XBRL Subject Matter Expert

Background & Objective: The smallest of public companies are completing the multi-year phase-in of XBRL formatted SEC reporting, the last phase of which is a move from liability “as-furnished” to liability “as-filed” status. The result of the passage of this last phase is that XBRL formatted SEC filings now carry the same legal liability as traditionally formatted SEC filings. With this in mind, is there a role for audit to play in the preparation of XBRL formatted filings? Is there a way to capitalize on all of the XBRL data that has been generated? Could there be a way for companies to utilize XBRL internally to gain greater access to fast and accurate business information? Should auditors care about XBRL at all?

The purpose of this session is to explain what XBRL is, why we must deal with it, how it can be utilized and the role auditors should play in XBRL formatted reporting.

No prerequisites required.

Jeff Henson is Manager, Finance Operations for Experis Finance, a global provider of financial operations, risk advisory and tax services. Mr. Henson’s expertise spans over 25 years of finance and accounting in public accounting, industry and management consulting. His experience includes financial reporting and best practices, accounting standard interpretation, SEC reporting, financial analysis, mergers and acquisitions, financial document negotiation and information systems management.

During his career, Mr. Henson has managed accounting, treasury and information systems functions. He successfully transitioned a financial reporting function to the recognized leader among companies owned by the same investment group, led successful discussions with external auditors concerning accounting treatment of industry specific practices and led in the interpretation of accounting principles and development of accounting policies.

He is an XBRL Subject Matter Expert with the Experis Finance Technical Accounting and Financial Reporting Center of Expertise. Mr. Henson’s XBRL experience includes mapping and tagging SEC filings for major U.S. registrants, performing XBRL quality reviews and assisting clients with third party outsourcing. He has experience with several XBRL software tools including Fujitsu XWand, Edgar Online iMetrix, CoreFiling Spider Monkey, Rivet Crossfire Controller and WebFilings cloud based solutions.

1  Hour Continuing Professional Education.

Meeting Location

DoubleTree Campbell Centre - Dallas
8250 N Central Expressway; Dallas, Texas 75206

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>> Current Month Registration - CLOSED <<

Pamela Krakosky

May 2015 Social Meeting Prices:

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

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

Reservations & Payment must be received by 5:00 PM on Friday, August 30, 2013.

Chapter News

Don’t miss out on this highly anticipated event.  The 2012 inaugural conference was a resounding success. Many attendees said it was like a ‘mini-GAM’ with all the benefits and without the travel costs!

When: Friday, October 25, 2013

Where: Hilton Anatole, Dallas

Register now: http://dallasiia.org/super/registration.htm#cvent

Sign up now! $350 for IIA members / $400 for non-IIA members

Don't miss out on all of the great conference benefits!!

  • 8 hours of CPE from subject matter experts
    • Multiple learning tracks including:
    • IT Risks
    • IT Auditing Leading Practices
    • Continuous Monitoring
    • Emerging Risks
    • Corporate Governance
    • Managing Your Internal Audit Department
    • Driving Change-Delivering Results
  • 28 breakout sessions
  • Networking opportunities
  • Post-conference Networking Reception
  • Little to no travel costs

Morning General Session Keynote –
Paul Sobel, Incoming IIA Chairman of the Board

Join us and be inspired by the sounds and words of Mike Rayburn!

Mike Rayburn is a captivating keynote artist with a presentation completely unlike any you've ever seen! Having been called “the World's Funniest Guitar Virtuoso,” Mike uses his astounding guitar creations, uproarious songs, and veteran presentation skills to encourage, challenge, and inspire his audiences to leap beyond their perceived limitations. Mike draws from a wealth of life experience as an adventurer, business owner, comedian, world-class guitarist, author, philanthropist, husband, and father to deliver a presentation which is motivational, hilarious, and musically amazing!

Certification Programs

Certification News from the IIA

Are you thinking about getting your CIA? The IIA is waiving the application fee during August. Use the code WAIVE13 to receive this great discount!

Did you know certified internal auditors earn more? The median salary of auditors who hold the Certified Internal Auditor® (CIA®) designation is as much as 40% higher than peers without the credential, according to The 2012 Internal Audit Compensation Study conducted by The IIA’s Audit Executive Center.

The IIA recently kicked-off the 40th Anniversary celebration of the CIA — the only globally recognized internal audit credential — and is giving you the gift of no application fees* (a savings of up to US $200) during the month of August for the CIA and all four specialty certification programs: CCSACFSACGAP, and CRMA.
Increase your earning potential now! Apply through The IIA’s Certification Candidate Management System (CCMS) by Aug. 31 and reference promo code WAIVE13 to take advantage of this offer and join the more than 130,000 individuals globally that hold an IIA credential.

More for Your Money! For those who register before Aug. 31, the application fee waiver can be combined with the Delayed Score Exam (DSE) option for the CIA designation individual exam parts. In order to qualify for the additional discount(s), candidates would have to sit for exam parts by Sept. 30.

Preparing for an exam? Visit our exam preparation resources page to learn more about available study materials and visit The IIA Research Foundation Bookstore to make your purchase.

* The fee waiver up to a US $200 value is valid within North America and the 65 countries serviced by IIA Global Headquarters.

Ceremony to Honor New Certifications

This fall, the Dallas IIA Chapter will honor our members who completed their certification examination requirements. Honorees will be contacted via email on how to register. Certificates have or will be mailed by The Institute of Internal Auditors.

Beginning of the New School Year

http://som.utdallas.edu/iaepThe IAEP program at UT Dallas is beginning its 11th year!  We have many exciting opportunities for students this fall.  Although the student chapter and classes took the summer off, Mark Salamasick continued to promote the program.  In June, UTD featured its first print ad in Internal Auditor magazine.  In July, UTD exhibited at the IIA International Conference in Orlando.

Our student chapter kick-off meeting is August 28th.  In September, the chapter will host receptions with Dr. Pepper/Snapple, Liberty Mutual, Crowe Horwath, and Weaver.  In addition, we will have a site visit at JCP.  Select students from the program will attend the IIA IAEP networking event in Orlando at the end of the month.  At the beginning of October, we will host the Adrian Project on campus.  The project teams students with IRS field agents for a full day of mock investigations, surveillance, arrests, and judicial procedures to give students a taste of IRS field work.

Our student organization helps place students in internships and full-time position in companies both in the DFW area and nationwide. We have recently added job postings to our website in addition to our online resume book. Both can be accessed at www.utdallasiia.com.

If you are interested in recruiting on campus or assisting the program in any way, please contact Mark Salamasick at 972-883-4729 or mark.salamasick@utdallas.edu. We are always looking for additional site visits and sponsors for our weekly receptions. 

IIA Research Foundation

The IIA Research Foundation has recently published Global Corruption Law Compliance Report.  Today's middle-market executives operate in an increasingly interconnected economy, distributing and selling products around the world more than ever before.  Advances in technology have increased access and potential for growth, but have also exposed businesses to a higher level of bribery and corruption risks.  In response, government entities have established a more stringent regulatory environment, led by increased enforcement of the Foreign Corrupt Practices Act (FCPA) and the enactment of the U.K. Bribery Act.

With these challenges in mind, McGladrey, in conjunction with The Institute of Internal Auditors Research Foundation, has developed the Global Corruption Law Compliance Report.  In an era of globalization, companies must be vigilant about compliance with tougher laws and regulations against bribery and corrupt business activities.  The costs of ignoring such activity is high, as fines and investigations impact a company financially while reputational damage can result in lost customers and business partners.

The report can be downloaded free to members ($15 to non-members) at http://www.theiia.org/bookstore/product/global-corruption-law-compliance-report-1663.cfm?

Membership News

When was the last time you renewed your IIA membership? Have you wanted to become an IIA member, but have been putting it off to some other time? Well, good news, there is no better time than now to become a member of the IIA! The Dallas Chapter is currently the 5th largest chapter in North America for membership and we want to be number 1! Only the New York, Houston, Toronto, and Chicago Chapters have more members than Dallas. Help us reach our goal by renewing your membership or joining the IIA today!

If you know of someone who wants to join, please click below:

Why join the IIA?

Welcome, New Members!

The Dallas IIA Chapter would like to extend a warm welcome to our new members who joined the Chapter in the Summer of 2013:

 Summer 2013 New Members

Luis Aguirre
Kyle Crockett
Tina Iregbu
Jennelyn Linton
Lauren Schick
Nancy Vannucci

Uwem Akpabio
Jon Grundy
Debra Kessner
Noemi Rader
Katherine Sedgwick
Sam Willson

Amber Brakeville
Nicholas Hernandez
Matthew Larscheid
Jill Schiavone
Ken Tin

Dallas Business Journal – CFO Awards


Join the Dallas Business Journal in honoring the top CFOs in North Texas. Don't miss the chance to celebrate and network with these financial stewards! Winners in each category will be announced at the event on October 24.

When: Thursday, October 24, 2013,
Where: Hyatt Regency Dallas
300 Reunion Blvd. Dallas TX 75207
Suggested Dress: Business

Report Your Speaking and Writing

Each speaking engagement on internal auditing that a Dallas Chapter member completes will earn the Chapter 1 credit per CPD hour.  Each full article, Roundtable article, Fraud Finding, etc. submitted that meets basic editorial guidelines will earn 5 credits. For each full article published 20 credits are earned.  Each internal audit related article published in any other trade or professional journal that is authored by a chapter member is 5 credits.

To report your writing and speaking go to http://dallasiia.org/Speaking.htm and complete the online form. If you have any questions, please contact Corinne Bryan at CAP@dallasiia.org.

Employment Opportunities

jcpenney  (8/13/13)

Senior Auditor / Internal Auditor / Staff Auditor
JC Penney Company, Inc.
Plano, TX


This is not your traditional audit role! At jcpenney, as a member of the audit team, you will have end to end responsibility for the planning, development, management and performance of customized internal audits. Strong relationship builders will find immediate success by developing mutually respectful and critical business partnerships within the areas supported! This new addition to our team will handle specialized and/or technical audits on assigned businesses and/or processes within jcpenney. You will help the organization in determining if effective systems and controls are on place, resources are used effectively, and financial records are accurate.

Specific Responsibilities:
  • Coordinate, plan and facilitate audits of an assigned activity, including specialized activities with a high degree of professional competence and technical expertise.
  • Develop risk-based audit programs to test operating effectiveness of key controls.
  • Document process flows, provide validation and strategy to fully substantiate recommendations for changes and improvements to systems, controls and/or procedures.
  • Evaluate the quality of critical financial business processes and/or operational applications or systems in a specific business function.
  • Determine and/or recommend the scope and objective of specialized audits utilizing the technical tools/techniques most appropriate and productive.
  • Communicate audit concerns and findings to the appropriate levels of operating management.
  • Assist Audit Management in preparing and establishing priorities based on specialized knowledge of key risks and exposures, and participate in developing the schedule of audit assignments and audit plans. Maintain high degree of knowledge about the business, and remains aware of trends in the industry.
  • Participate in special investigations in a specified area upon request or as indicated by audit findings in the following circumstances: suspected misappropriation of Company funds or property, falsification of Company financial records, or other action by associates or outsiders that could be detrimental to the Company.
Core Competencies & Accomplishments:
  • Bachelor’s Degree, preferably in Accounting, Auditing or Finance.
  • Exceptional leadership, communication, analytical, and interpersonal skills are essential.
  • Proficiency in Excel and other Office programs is required. Visio experience is beneficial.

To apply for this role or other opportunities at jcpenney, please click here!
Links: Media Room | JCP.com | Openings at jcpenney


The North Central Texas Council of Governments  (8/12/13)

Auditor -The North Central Texas Council of Governments

The North Central Texas Council of Governments is seeking an Auditor in the Administration department.

The purpose of this position is to ensure audited programs achieve intended results, resources are used effectively, waste, fraud and abuse are minimized and that timely information is captured and reported. This is accomplished with minimal supervision, with moderate latitude for the use of initiative and independent judgment. The Auditor will perform most aspects of fiscal monitoring. This process includes assisting with planning and performing external and internal auditing, analyzing financial records, conducting internal and field audits, preparing draft audit reports. Other duties include providing desk reviews of subcontractors’ annual audits, assisting Accounting staff and providing other related services to assure compliance with contract and fiscal responsibility.

Skills / Requirements:

Requirements include a Bachelor’s Degree in Accounting or related field of study and a minimum of one year and up to three years of related work experience. Candidate should have the ability to travel within a 16 county region. Knowledge of and skill in using current word processing and spreadsheet software packages is a must (i.e. Word and Excel). CPA or CPA candidate is preferred as well as knowledge of Blueworks Live, TeamMate and ACL programs.

For further consideration of this position and information about our agency, please visit us at:


NCTCOG offers a very competitive salary and benefit package to include a 12% match on a 401 money market retirement account. We offer 100% tuition reimbursement beginning the first day of employment and also pay 100% of the employee's premium for health insurance and have generous cost sharing for dependent health coverage. 
NCTCOG is an equal opportunity employer. All candidates must successfully pass a pre-employment drug screen and national criminal background check in order to receive an employment offer from NCTCOG.

The North Central Texas Council of Governments participates in the federal E-Verify program in order to verify a new employee’s authorization to work in the United States.  Applicants must be lawfully authorized to work in the U.S.

RealPage  (7/19/13)

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

  • Effectively monitor the performance of self and to ensure set deadlines are met.
  • Assist in the completion of tasks and projects as they related to the risk-based audit plan for all activities of the company, specifically for Sarbanes-Oxley compliance.
  • Work with control owners throughout the company on documentation that supports compliance with Sarbanes-Oxley regulatory requirements.
  • Perform tasks for completion of the Sarbanes-Oxley compliance program, including the testing of internal controls.
  • Perform tasks for completion of operational audits, including analysis and testing of internal controls.
  • Execute individual audit tasks in accordance with the audit plan and with the Standards for the Professional Practice of Internal Auditing of The Institute of Internal Auditors (IIA).
  • Properly document work papers, providing proper documentation of audit steps performed and evidence gathered. 
  • Assist in the rollout of related internal controls and financial policies and procedures.
  • Provide supporting information for reporting of results of internal audit activities and tracking of open audit issues.
  • Provide supporting information for audit reports, including action plans to achieve visible improvements to internal controls, risk management, and processes.
  • Stay current with the professional standards of internal auditing (e.g., legal and compliance requirements).
  • Bachelor’s degree in Accounting, Finance, Business or related degree.
  • Candidate should be seeking professional certification required such as Certified Public Accountant (CPA) or Certified Internal Auditor (CIA).
  • Previous external and/or internal audit experience of one to two years is required.
  • Business acumen, cross-functional competence, interpersonal savvy, and strong analytical capabilities
  • Excellent oral and written English skills
  • Strong presentation and command skills
  • Courage to take unpopular stands if needed in difficult audit situations
  • Highly developed planning, time management, and organizational skills
  • Diversity skills to connect with people and management styles across different cultures
  • Flexibility to work in a growth environment
  • Ability to work overtime
  • Ability to travel for a possible 2 to 3 weeks per year

Interested candidates, go to https://rn21.ultipro.com/rea1005/jobboard/NewCandidateExt.aspx?__JobID=4048

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

  • Effectively monitor the performance of self and to ensure plans, schedules, and budgets are met.
  • Assist in the completion of tasks and projects as they related to the risk-based audit plan for all activities of the company, specifically for Sarbanes-Oxley compliance.
  • Work with control owners throughout the company on documentation that supports compliance with Sarbanes-Oxley regulatory requirements.
  • Perform tasks for completion of the Sarbanes-Oxley compliance program, including the testing of internal controls and the identification and communication of deficiencies.
  • Develop recommendations to improve the control environment.
  • Identify and analysis internal data in support of the risk management process. 
  • Plan, execute, and report on operational audits.
  • Execute individual audit tasks in accordance with the audit plan and with the Standards for the Professional Practice of Internal Auditing of The Institute of Internal Auditors (IIA).
  • Properly document work papers, providing proper documentation of audit steps performed and evidence gathered.  Ensure audit issues are well defined and root causes are identified.
  • Develop and maintain relationships with personnel throughout the organization to ensure the understanding and acceptance of audit issues in connection with business risks and controls.
  • Bachelor’s degree in Accounting, Finance, Business or related degree.
  • Candidate should be seeking professional certification required such as Certified Public Accountant (CPA) or Certified Internal Auditor (CIA).
  • Previous external and/or internal audit experience is desirable but not required.
  • Business acumen, cross-functional competence, interpersonal savvy, and strong analytical capabilities
  • Excellent oral and written English skills
  • Strong presentation and command skills
  • Courage to take unpopular stands if needed in difficult audit situations
  • Highly developed planning, time management, and organizational skills
  • Diversity skills to connect with people and management styles across different cultures
  • Flexibility to work in a growth environment
  • Ability to work overtime
  • Ability to travel for a possible 2 to 3 weeks per year

Interested candidates contact ali.stewart@realpage.com

Texans Credit Union  (6/3/13)

Job Title: Internal Auditor Department: Internal Audits
Supervisory Role: No Exempt or Non Exempt: Exempt
Supervisor’s Title: Audit Manager  
Created or Updated On: August 2, 2012
Position Purpose and Objectives

The purpose of this position is to provide audit services to the Credit Union.  The employee performs independent reviews of credit union internal controls; reviews the effectiveness and efficiency of operations; tests the integrity of data; and reviews for compliance with organizational policies and procedures as well as regulatory requirements.

Major Duties and Essential Functions
  1. Perform branch audits, department audits, compliance audits and operational audits
  2. Perform audits of critical areas, exception items, and staff members’ accounts.
  3. Perform follow up audits to ascertain status / completion of resolution to audit findings
  4. Document audit testwork, formulate audit conclusions, and document audit findings
  5. Write audit reports to include findings and recommendations to Management
  6. Conduct special audits/projects as needed
  7. Interface with management, supervisors, staff members and members as needed
  8. Operate a computer and on-line system
  9. Handle confidential information
  10. Maintain independence and objectivity in performing audits
  11. Prioritize work and be detail oriented
  12. Be ethical and use good judgment
  13. Work independently, as member of team and be accountable for decisions
  14. Act with integrity and project professional image
  15. Other duties as necessary to achieve the goals of the credit union and department

Positions directly supervised:  None

Specific knowledge, skills, and abilities required for this position:
Broad to specific knowledge of Credit Union or financial institution operations; specific knowledge of accounting principles and audit standards; basic knowledge of regulatory requirements; ability to recognize areas of control risk; ability to recognize deviations from operation standards.
Education:  Accounting Degree or Bachelors Degree (business curriculum) with minimum 12 hours of Accounting.
Experience:  Minimum two years or more of similar or related experience in financial institutions.

All applications should go to www.texanscareers.com – job code (id) number is 13-0102 (Internal Auditor).

Job Title: Quality Control Analyst Department: Internal Audit, Compliance and Quality Control
Supervisory Role: No Exempt or Non Exempt: Non-exempt
Supervisor’s Title: Manager, Internal Audit, Compliance and QC    
May 31, 2013 May 31, 2013    
Position Purpose and Objectives

Under occasional supervision, this position performs quality control reviews of credit union processes specifically in relation to consumer (direct and indirect), home equity and mortgage loans.

The objective is to improve document accuracy, mitigate risk, maintain adherence to critical regulatory guidelines and internal credit union policies and procedures as well as reduce errors. Will provides quality customer service to internal and external customers that meets and exceeds Service Level Agreements. Additional duties include but not limited to assisting with pre-funding and post-funding audits of all loan products as required by management and Internal Compliance.

Major Duties and Essential Functions
  1. Performs the quality control review of credit union loans processed and funded in a timely manner to ensure policies and procedures are adhered to.  Document and report the results of each review to all lending managers, Chief Lending Officer and Audit Manager.
  2. Updates tracking spreadsheets daily with quality control results.
  3. Makes recommendations to improve the quality control process.
  4. Makes recommendations for process improvements based on the results of the Quality Control reviews.
  5. Prepares monthly management reports.
  6. May assist as directed with loan file reviews, including gathering documentation, providing loan funding and denial reports and cross train in loan underwriting analysis for assessment of quality loan decisions.  Identifies additional cross-selling opportunities previously not addressed.
  7. May assist in Audits and Examinations by gathering documentation and researching loan documentation exceptions.

Positions directly supervised:  None

Specific knowledge, skills, and abilities required for this position:

Working knowledge of a variety of financial products and services including but not limited to indirect lending (dealer contracts), consumer and real estate loans; excellent member service skills; exceptional interpersonal and oral communication skills; basic computer and typing skills; good time management skills; ability to work independently with limited supervision.  Must be able to work with routine processes and procedures and utilize strong analytical reasoning.

  1. Understands and applies Federal Regulations in relations to consumer and real estate loans  including but not limited:
    1. FCRA - Fair Credit Reporting Act
    2. ECOA - REG B – Equal Credit Opportunity Act)
    3. RESPA - Real Estate Settlement Procedures Act)
    4. REG Z - Truth in Lending
    5. FACTA - Fair and Accurate Credit Transaction Act
    6. Graham-Leach-Bliley Act
    7. Home Mortgage Disclosure Act – REG C
    8. Unfair or Deceptive Acts or Practices – REG AA
  2. Familiarity with and understanding of roles by, including but not limited to:
    1. NCUA – National Credit Union Administration
    2. Consumer Financial Protection Bureau
    3. Texas Credit Union Department
  3. Understands and applies Texans policies and procedures

Education: Minimum of high school diploma or equivalent; Two years college preferred.

Experience: Minimum one or more years of similar or related experience.  Loan processing or underwriting skills preferred.

All applications should go to www.texanscareers.com –  Requisition No. 13-0104 – Quality Control Specialist

Essilor of America, Inc.  (6/3/13)

Essilor of America, Inc. (Essilor), is the leading manufacturer and wholesaler of prescription lenses in the United States. Through its subsidiary, Essilor Laboratories of America, Inc., (Essilor Laboratories), Essilor owns the largest and most comprehensive optical laboratory network in the United States. Learn more about EOA at http://www.essilorusa.com

Essilor of America, Inc. (Essilor) is a subsidiary of Paris-based Essilor International, S.A., a publicly held company traded on the Euronext Paris stock exchange (Reuters: ESSI.PA).
Research, product innovation and service to the eye-care professional distinguish Essilor from its competitors and characterize Essilor as the world leader in ophthalmic optics. Essilor is committed to the research and development of innovative products, and the company continues to set new standards within the industry.  Essilor International was recently ranked 25th on Forbes magazine’s list of “The World’s Most Innovative Companies.”

In 2008, Essilor announced the creation of the Essilor Vision Foundation, a public, non-profit foundation based in Dallas, Texas. The Foundation strives to help people achieve better lives through better sight by creating and supporting activities that advance good vision and its benefits and offering special help to those who need it most.  Essilor International is the Official Worldwide Supplier of Ophthalmic Lenses to Special Olympics-Lions Club International Opening Eyes Program.  Essilor is the creator and founding member of the Think About Your Eyes public awareness initiative. Think About Your Eyes focuses on educating consumers about the importance of vision health and yearly comprehensive eye exams.

Title:  Senior Internal Auditor – Latin America                                                                      
Department:  Dallas Finance Shared Services – Audit & Consulting Services       
Reports to:  Director of Internal Audit
Job Position:
This position will perform internal audit and consulting engagements within a foreign-owned global manufacturer and distributer of eyeglass lenses and optical products.  The primary area of responsibility of this position will be focused in Latin America.  The successful candidate should have a diverse field of experience (including, but not limited to Accounting/Finance, Lab Operations, Procurement/Supply Chain, Manufacturing, etc.), as internal audits and consulting engagements can potentially cover any organization/process within the Essilor organization.  Key skill sets include: fluency in Spanish and English, proven analytical skills, ability to identify and assess risks and controls for a given process, strong team player willing to collaborate with highly skilled people on multiple levels, and strong interpersonal communication skills.

Primary Responsibilities:
  • Lead, plan and execute multiple audits, including financial process and operational audits, compliance reviews and special investigations.
  • The audit team member is expected to competently review operational, financial, and technology processes to provide management with an individual assessment of business risk, internal control, and the overall effectiveness and efficiency of the process.
  • Work closely with the business and audit department staff to develop risk assessments, implement opportunities, and recommendations regarding business and process optimization, profit improvement, internal control, and compliance.
  • Think strategically about Internal Audit Department enhancements and be able to embrace and manage change.
  • Develop an ongoing "trusted advisor" relationship and maintain active communication with audit clients and Internal Audit business unit colleagues to ensure timely and consistent controls advice
  • Mentor audit staff in developing and achieving goals and objectives for performance and professional development.
  • Ability to understand the Latin America culture and business environment, as well as effectively communicate and build relationships within complex emerging markets.
  • Bachelors degree.  Masters or MBA a plus.  CPA, CIA, or other relevant certification.
  • 3 to 7 years of progressive audit experience in public accounting or equivalent delivering internal or external audit services.  Progressive business experience within the Essilor Group entities will also be considered.
  • Experience with highly complex and integrated processing environments.
  • Proven analytical skills.
  • Ability to manage multiple engagements and competing priorities in a rapidly growing, fast-paced interactive, results-based team environment.
  • Strong leadership, business acumen, training, coaching and mentoring skills, coupled with excellent written, interpersonal, and presentation skills.
  • Computer proficiency, including knowledge of audit-preparation software and an understanding of the impact of technology.
  • Ability to work additional hours as needed and travel on a regular basis to clients as required.
  • Must be able to travel up to 50%, as needed, into Latin America, as well as domestic travel within the US and other international destinations.
Preferred Skills and Experience:
  • Acquisition financial due diligence experience is a plus.
  • Financial internal audit.  Information Technology audit experience is a plus.
  • Demonstrated business knowledge and control related expertise.
  • TeamMate, ACL, and other related audit software skills.
  • Experience in an international team environment.
  • Spanish language fluency required

If you are interested in applying for this position please proceed through the link below or visit our website at: www.essilorusa.com


As the worldwide leader in the ophthalmic industry, we are dedicated to growing our business and enhancing our customers’ quality of life.

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

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