Date: September 7, 2018
Time: 8:00am – 12:00pm
Location: Addison Conference Centre
No prerequisites required
4 Hours Continuing Professional Education
Ethical Erosion (2-hours)
Ask 300 people to raise their hands if they are Ethical, and 300 people will raise their hands. We are generally ethical individuals, but somehow, somewhere our ethical barometer is challenged. Some stand strong and ethical and yet others adjust their ethical barometer. How does Ethical Erosion occur? Is it “the way business is done’? Is it “how others play the game”?
This session reviews the timeline of questionable ethics practices (pre-Enron to present day), what went wrong, and how to identify and correct ethical erosion. Participants will evaluate the auditors responsibility with respect to control environment, fraud, and maintaining our ethics based on the IIA’s Code of Ethics. This session satisfies the IIA’s annual requirement for Ethics CPE.
At the end of this session, you will be able to:
- List the IIA’s Code of Ethics principles
- Identify indicators of Ethical Erosion
- Help improve the ethical climate of your organization
Reading People Like the Cover of a Book (2-hours)
Have you ever looked at someone and immediately knew that they would be fun, stern, rigid, or easy-going? Do you wonder how you know that? Well, there is a science created through 5 decades of history and study. As finance, risk, and audit professionals, we need to be able to read people. While not always 100% true, the cover of a book does reflect the contents of the book. The same is true of people. Attend this session to learn more about the contents of a person, what they stand for, and how they act based on their “cover” before they even speak.
Raven is a globally recognized speaker and instructor in risk management and internal audit. She possesses over 19 years of diverse internal audit experience, and 15 years of instructing and facilitating a variety of courses. With this diverse experience she “helps professionals add dimensions to help them grow for a successful future.”
She performed reviews and audits of not-for-profit and philanthropic organizations, mutual funds, general banking operations, trust operations, real-estate lending, construction activities, benefits, compensation, payroll, procurement activities, accounting operations, marketing activities, governance activities, information technology, treasury & cash management, derivatives, secondary marketing, and debt issuance.
Her industry expertise and audit experience includes mortgage operations, mortgage backed securities, and capital markets. She served as an integral member of the financial restatement team for Freddie Mac. Additionally, she created project plans and coordinated the efforts of over 150 individuals responsible for correcting security pricing as part of the Fannie Mae financial restatement. Most recently, Raven performed a business process analysis and redesign (using Six Sigma and Lean) at the World Bank/IFC and a Fraud Risk Assessment for a Regional Bank and Trust Company.
She developed and redesigned the auditing infrastructure for internal audit functions, including developing internal audit policies and procedures, implementing audit software, designing reporting and time management templates, designing audit committee packages, and implementing databases to report and track progress of audit concerns. Raven embraces the definition of internal auditing as a value-added service and operations owners have welcomed the “fresh approach” to internal auditing.