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July 2009 AUDIT WIRE
I I A H O U S T O N S E P T E M B E R 2 0 1 2
Page 1
AUDIT WIRE MON THLY
INSIGHTS
President’s
Message 1
Luncheon and
Registration 2-5
New
Certification
Recipients
6
New
Members 7
Congratulations
to UH 8
CAP Update 9
CIA Review
Course 10
2012 Southern
Regional
Conference
11
Job Postings 12-15
Dear Houston Chapter Members, As we head into September, for most of us this corresponds with the an-nual budget cycle and kick off of audit planning for the next year. I hope you use the risk assessment and planning process to have meaningful stakeholder conversations soliciting their views on risk, business chang-es, and audit’s performance. We should take advantage of opportunities to professionally interact with management as audit success and per-ceived audit stature often correlate with the quality of communications and relationships. Listen for the “change” that your stakeholders anticipate. Whether it is change related to finan-cial investment, people, processes, applications, locations, or other business drivers, this change equates to risk that should be evaluated in creating the audit plan. By listening careful-ly, we will learn a lot about the business and will likely identify new ways to be a relevant and valued business partner. After applying critical thinking to develop an audit plan covering the organization’s higher risk areas, it is critical that the right people and skills are in place to effectively delivery the audit projects. We all must continuously learn new skills and be creative in developing or sourcing the capabilities necessary to help management address their dynamic business challenges. I hope you plan to attend our next Chapter meeting on September 10. Dr. Michael Newman will share his excitement about the Internal Audit Program at the University of Houston recently being named a Center of Excellence by The IIA. We congratulate UH on this major achieve-ment and are proud of our Chapter’s role over the years in financially supporting and assisting the advancement of the UH program. As our September luncheon speaker we will have the Houston Chapter’s own Paul Pettit, our IIA District Representative, share with us some of his unique audit and travel experiences. You should soon receive via email a survey soliciting your views on the Chapter’s services and ways the Chapter can better meet your professional audit needs. Your feedback is extremely valuable, particularly as we explore a new meeting venue beginning in January 2013. Thanks in advance for your time to complete the survey. The Nominating Committee will also initiate a call for Board and Officer nominations, as well as various committee positions, for the next Chapter year. We are an all volunteer based organi-zation and rely on the talents and efforts of our members to achieve our mission. If you or someone you know is interested in making a difference by serving your Houston Chapter, please contact Randy Fernandez, Volunteer Coordinator, or Anne Mercer, Nominating Com-mittee Chair. Best wishes for a safe and enjoyable Labor Day weekend! Larry Abston Houston Chapter President
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July 2009 AUDIT WIRE
I I A H O U S T O N S E P T E M B E R 2 0 1 2
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September Luncheon Topic and Speaker
Topic: Auditor Travel Stories: From Local to Exotic to Downright Dangerous! Speaker: Paul Pettit, Jr., Director at Protiviti Objective:
Hear about actual travel challenges and successes while auditing projects around the world
Provide your own stories during this interactive presentation on auditing your company’s or client’s operations
Understand why a CIA is more than being a Certified Internal Auditor when traveling for audit projects
Learn about good risk management techniques in dealing with challenges locally, across the country and in foreign countries Content: After more than twenty years of traveling and surviving shots, chemical leaks, hurricanes, floods, earthquakes, attacks and many other travel challenges (not to mention customs and the airports), come see and hear about a few funny and serious auditor travel stories from our very own District Representative, Paul Pettit. Paul will share his travel challenges and successes while auditing projects and client operations around the globe. About the Speaker: Paul is a Director for Protiviti, a global business consulting and internal audit firm. Since 1999, he has been involved in providing consulting and internal audit services within tech-nical areas of organizations including engineering, procurement and construction. Paul is the national leader of Protiviti’s Capital Projects & Contracts and Quality, Environmental, Health & Safety practices. Paul also worked for over nine years in the Engineering, Procurement and Construction (EPC) industry with a Leading EPC Contractor, traveling the world to engineer, construct and audit projects. Paul holds Masters degrees in Business and Environmental Manage-ment as well as a Bachelors degree in Civil/Mechanical Engineering Technology from the University of Houston. He is certified as a Project Management Professional (PMP), Construction Auditor (CCA), Internal Auditor (CIA), Risk Management Assurance (CRMA) and Professional EH&S Auditor (CPEA). Paul is an accomplished speaker and was awarded the highest professional speaking designation by Toastmasters International in 2006, distinguished Toastmaster (DTM). Paul has been a member of the IIA since 2000 and has spoken at many chapter IIA lunch-eons and seminars/roundtables around the country as well as at national IIA conferences. He has also written articles and white papers on internal audit topics such as auditing high risk contracts, data mining and analytics as well as auditing quality, environmental, health & safety programs. Paul currently serves as an IIA District Representative (South Region District #1) with responsibility for six Texas IIA chapters. Learning hours: 1 hr.
I IA- HOUSTON
CHA PTER
O F F I C E R S 2 0 1 2
PRESIDENT
Larry Abston
Anadarko
VP ADMINISTRATION
Lyn Beaty
Halliburton
VP COMMUNICATIONS
Greg Bone
Anadarko
VP ACADEMIC RELATIONS
Rumy Jaleel-Khan
Deloitte
VP FINANCE
Connie Khawaja
ABM
VP SEMINARS
Angel Butler
UHY Advisors
VP MEMBERSHIP
Ryan O’Day
PwC
SECRETARY
Doug Moore
UHY Advisors
VP TECHNOLOGY
Norman Comstock
UHY Advisors
NEWSLETTER EDITORS
Eric Murray
Deloitte
July 2009 AUDIT WIRE
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I I A H O U S T O N S E P T E M B E R 2 0 1 2
October Luncheon Topic and Speaker
Topic: “What Internal Auditors Should Know About Environmental, Health and Safety” Speaker: Mario Soares, Director of Environmental Health and Safety Department and the Infection Prevention and Control Department at The Methodist Hospital Objective: The presentation will provide the audience an understanding of:
Regulations impacting the Environmental, Health and Safety field
Internal and external auditing strategies conducted to ensure compliance
Challenges with auditing Environmental, Health and Safety practices
Impact on current and future strategies About the Speaker: Mario Soares is the Director the Environmental Health and Safety Department and the Infection Preven-tion and Control Department at The Methodist Hospital. Mr. Soares' experience in Environmental Health and Safety began at the University of Texas Health Science Center at Houston in 1998, after graduating from the University of Houston with Bachelor of Science degrees in Biology and Psychology. At the UT Health Science Center, he served as a Biological Safety Specialist, and as acting manager of the Bio-logical Safety Program. He later joined the University of Texas M.D. Anderson Cancer Center in 2002, as the Program Manager for the Biological and Chemical Safety Programs before joining The Methodist Hospital as the Director the Environmental Health and Safety Department and the Infection Prevention and Control Department in 2010. Mr. Soares received a Masters of Public Health degree at the University of Texas-Houston School of Public Health in 2005 and holds certifications from the American Biological Safety Association and the National Registry of Microbiologist. Learning hours: 1 hr.
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July 2009 AUDIT WIRE
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I I A H O U S T O N S E P T E M B E R 2 0 1 2
Luncheon Directions and Information
Day of Meeting
Registration Begins at 11:30 am
Speaker Begins at Noon
Meeting Location The Houston Club
811 Rusk 713-225-1661
Pricing:
Pre-Registered IIA Member: $30.00
Non-Member/Member Walk-
In $35.00
Valet Parking: $8.00
Upcoming Topics and Speakers Upcoming Topics and Speakers Upcoming Topics and Speakers
Date Topic(s) Speaker(s)
September 10, 2012 Auditor Travel Stories: From Local to Exotic to Downright Dangerous!
Paul Pettit, Jr.
October 1, 2012 What Internal Auditors Should Know
About Environmental, Health and Safety
Mario Soares
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July 2009 AUDIT WIRE
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I I A H O U S T O N S E P T E M B E R 2 0 1 2
Luncheon: Benefits of Pre-Registration
As auditors, our schedule can be unpredictable at times and at a last minute’s notice, we could be sent to work on a special assignment somewhere outside of Houston, or even outside of the country. Because of that, you may hesitate to pre-register for an event, just in case your schedule changes. Whenever possible, I would encourage our Chapter members to sign up by the Wednesday before each meeting. Here are some good reasons why you should pre-register for the event:
1. Members get a $5 discount if they pre-register for the meeting. In light of our economy and
companies’ focus on cost reduction, every dollar counts. 2. Only individuals pre-registered before the cut-off are entered into the drawing. If your name is not in the drawing, then you cannot win. If your name is in, your odds are about 1 to <200 to win, not so bad when compared to other games of luck. 3. Pre-registered members get their certification ribbons on their name tag. You get to show off your achievement. 4. On the day of event, you can check in quicker and save time. Bring your barcode to scan and within seconds, you will be in. You can use the time saved to network with your peers. 5. You can avoid the long line for walk-ins and possibility of miskeying your name or email address and not getting your CPE certificate. Not good when that one credit hour would make a difference. 6. Lastly, you can help make your and other attendees’ experience at the event more pleasant. Right now, headcount has to be estimated to account for walk-ins and committed to the Houston Club two days before each event. Significant unexpected number of walk-ins poses challenges for the facility personnel to serve all attendees timely. We want everyone to be able to sit down, relax, eat and listen to the speaker when the meeting begins.
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Congratulations New IIA Certification Recipients!
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Please join us in congratulating our members who have recently obtained IIA certifications!
CIA
Amul Kumar
Cyril Ogbesetuyi
Dhanup Kandarapally
Duong Pham
Frederick Guilbeaux
Kseniya Kamalova
Michael G. Warr
Michael Greene
Vanessa Johnson
William Geoffrey Banez
Zachary Barilleau
CRMA
Dana Clement
David Shook
Frank A. Saputo
James D. Brodnax
Paul Vanek
Robert C. Gronwaldt
Robert Malone
July 2009 AUDIT WIRE
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Welcome to Our New Members!!!
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We would like to extend a warm welcome to our new members! If you see these people at the monthly luncheon, please be sure to introduce yourself!
Calum Duncan (Baker Hughes Inc.)
Chris Yacoub (Baker Hughes Inc.)
Christopher Chapman (McDermott, Inc.)
Diane Pinto (Ernst & Young LLP)
Edgar Perez (McDermott, Inc.)
Ehtesham Miah (Ernst & Young LLP)
Iskandar Dinata (Baker Hughes Inc.)
Jaina Lodhia
Jessica Galeas (Student)
Joshua Stibrich (Constellation Energy)
Lindsay Lesser (Baker Hughes Inc.)
Louis Fussell (Futron Corporation)
Margaretha Viljoen (Baker Hughes Inc.)
Marisol Purcell (Horne LLP)
Monica Gonzales (EZCorp Inc.)
Richard Atkinson (Federal Deposit Insurance Corporation)
Shelby Cherian (Ernst & Young LLP)
Shuja Haider (Ernst & Young LLP)
Thao Le (University of Houston- Main)
Victoria Miller (Houston Independent School District)
July 2009 AUDIT WIRE
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I I A H O U S T O N S E P T E M B E R 2 0 1 2
Congratulations UH!
We are proud to announce that the Internal Audit
program at the University of Houston has been
transitioned from an IAEP Comprehensive Internal
Audit Program to an IAEP Center for Internal Audit
Excellence Program. This is a great accomplish-
ment for the University of Houston and the City of Houston, and the Houston IIA Chapter is proud of
its financial contributions and other assistance provided over the years.
The University of Houston is only the sixth IAEP program globally to become a Center of Excellence
program and is the third in the United States.
Centers for Internal Auditing Excellence are identified as teaching a curriculum within a college or
university degree and recognizes the quality, sustainability, volume of students completing the pro-
gram, and longevity of the program.
The Internal Auditing Education Partnership (IAEP) program was developed
by The IIA Academic Relations Committee to respond to the growing interest
in internal audit education at institutions of higher learning. The program
addresses a general need of practitioners interested in hiring students who
possess a well-rounded skill set for conducting internal auditing.
The IAEP program prepares students with the skills and knowledge to conduct basic internal audits
immediately upon hire, as well as provide a foundation to begin preparing for the Certified Internal
Auditor® (CIA®) examination.
A celebration event is being planned to recognize the University of Houston on their major
achievement.
The University of Houston is now an IAEP Center for Internal Audit Excellence
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July 2009 AUDIT WIRE
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I I A H O U S T O N S E P T E M B E R 2 0 1 2
Chapter Achievement Points (CAP)!
One of the ways we gauge our success as a Chapter is through the Chapter Achievement Program (CAP). CAP points are earned for our accomplishments in three areas:
1. Service to Members
2. Service to the Profession
3. Chapter Administration
Our goal is nothing short of the highest level of Gold! We are two months into our 2012-2013 Chapter year and we are 6% of the way to achieving our goal with 91 points. How Do We Get CAP Points? We receive CAP points for providing services to our members. For example, this includes educational offerings for our members as well as networking events. We also get CAP points for providing services to the profession. This comes from having members of our Chapter submitting articles to the Internal Auditor Magazine, sup-porting our local universities, and making presentations on the relevant subjects such as internal audit, ERM, fraud, and other risk related topics. We also get CAP points for properly administering the Chapter activities and our timely reporting to the IIA. What Can You Do? Simply, keep participating in all of the educational events we provide – from the luncheons to the semi-nars to the roundtable discussions. You can also help by letting us know when you:
Speak about the profession or on internal audit related topics to others outside of your company,
Submit exam questions for the CIA exam,
Participate in an IIA-sponsored Quality Review,
Participate in IIA research projects,
Teach in Junior Achievement, and
Submit an article to the Internal Auditor (extra points for getting published!!!)
These are just a few examples. Do your part in helping us maintain our premier Platinum standing as an IIA Chapter. Email Dan Ramey at [email protected] with the details of your accomplishments and activities. What Else Can I Do? Want to get more involved? Contact Chapter President, Larry Abston, or Vice President of Membership, Ryan O’Day, to explore opportunities for involvement. Thanks for your help!
Dan Ramey, Past President and CAP Administrator
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100%
75%
50%
25%
6% Mo 2
July 2009 AUDIT WIRE
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CIA Review Course
Prepare to Pass the CIA Exam If you’ve made the decision to enhance your career by earning the Certified Internal Auditor® (CIA®) designation, the Houston Chapter can help you achieve your goals with The IIA’s CIA Learning System™. The IIA’s CIA Learning System is an interactive print and online self-study review program designed by CIA-certified industry experts to help you learn, review, and apply the key CIA content. This approach will help you build on foundational elements of internal auditing to master key concepts you need to know to pass the CIA exam. This four-part program includes:
Comprehensive print materials teaching the entire global CIA exam syllabus
Interactive online resources:
Pre- and post-tests to gauge your starting knowledge and advancements
Section quizzes to test your comprehension and retention
Flashcards and glossary
CIA practice exam to build confidence for the computer-based CIA exam For more information or to try a demo, visit www.LearnCIA.com/overview. Wondering how long it will take you to prepare for the exam? Create your free, personalized study plan at www.LearnCIA.com/my-cia-review-plan.
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www.LearnCIA.com/chapters
July 2009 AUDIT WIRE
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2012 Southern Regional Conference
During the 2012 Southern Regional Conference in Austin, The IIA is offering highly-rated review courses that will prepare you to pass the Certified Internal Auditor (CIA) exam using The IIA’s CIA Learning System or the Certified Government Audit Professional (CGAP) exam. Sunday, September 16 / 11:00 a.m. – 5:00 p.m. CIA Exam Review, Part 1: The Internal Audit Activity’s Role in Governance, Risk, and Control CGAP Exam Review, Part 1: Standards, Governance, and Risk/Control Frameworks Monday, September 17 / 10:25 a.m. – 5:05 p.m. CIA Exam Review, Part 2: Conducting the Internal Audit Engagement CGAP Exam Review, Part 2: Government Auditing Practice Tuesday, September 18 / 10:25 a.m. – 5:05 p.m. CIA Exam Review, Part 3: Business Analysis and Information Technology CGAP Exam Review, Part 3: Government Auditing Skills and Techniques Wednesday, September 19 / 11:45 a.m. – 5:10 p.m. CIA Exam Review, Part 3: Business Analysis and Information Technology CGAP Exam Review, Part 4: Government Auditing Environment Pricing and CPE credits are based on the number of parts taken. Visit the www.theiia.org/SRC2012 and download the conference brochure for all of the exciting details on the most affordable CPE opportunity in the South!
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Internal Audit Analyst
Job Description: Our client, an oil and gas services company, has continued to grow its operations and, subsequently, its Internal Audit function. The Business Assurance Services Analyst will assist with performing audits of both corporate and field operations to provide management with an independent assessment of business risk, internal controls, and the efficiency of business processes. This individual will work with a team of accomplished professionals to execute each audit. Responsibilities of the Audit Team:
Provide assistance in identifying business risks/concerns contributing to the annual audit plan
Assist in planning of the audit assignments and prepare risk assessment for each audit project
Create and execute audit programs/tests to address specific company issues and objectives
Analyze data obtained during audits for evidence of deficiencies in controls, duplication of effort, extravagance, fraud, or lack of compliance with laws, government regulations, and management policies or procedures
Partner with process owners to identify constructive and value-added solutions to address weaknesses identified or opportunities for increasing operational efficiencies and strengthening management controls
Demonstrate negotiation skills with management to develop the controls and processes that best fit the business
Summarizes findings, analyses, and recommended actions into clear and concise workpapers Essential Knowledge, Skills, and Abilities:
Must have demonstrated flexibility in work experience
Ability to communicate effectively with verbal and written communication
Ability to analyze performance and processes and make recommendations
Ability to work independently
Comfortable in an integrated audit environment, incorporating financial, operational, EH&S, and IT procedures
Ability to travel up to 50 percent Education and Experience:
Bachelors degree in Accounting or related Business field
Professional Certification (CPA, CIA, CMA) or MBA a plus
1 to 3 years internal audit experience, preferably in an integrated audit environment or relevant accounting experience with exposure to internal or external auditing.
If you are interested in this job, please submit your resume via email to Dana Smejkal at [email protected].
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July 2009 AUDIT WIRE
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Internal Auditor - Consentino
Job Summary: Perform different audits of internal control, security, information system, operational or other possible assigned. Essential Functions:
To ensure strict compliance with procedures and company policies
Identify key risks for the company and ensuring controls to mitigate them
Maintain independence in approach to other areas to ensure the objectivity of the review process
Monitor and follow the implementation of agreed actions in the revisions, especially for non-compliance procedures
Advising managers in order to minimize and avoid business risks
Monitoring and auditing compliance approval
Produce reports identifying non-compliance and proposing action plan improvements to internal customers, agreeing modes and compliance dates, verifying the evolution of the plans
Focus on design, implementation and auditing (online) methods of analysis of the processes supported in the SAP R/3. Requirements:
Bachelor of Science degree in Accounting
Certificate of Internal Auditor
Bilingual in English and Spanish is a plus
Experience:
Minimum of 6 years in external/internal audit.
Valuable experience in systems, audit information and knowledge of SAP R/3 Characteristics:
Analytical, attention to detail, accuracy, organization and planning
Internal customer orientation
Organizing and prioritizing
Confidentiality
Judgment
Communication skills
Information management skills
Problem-solving skills
Willingness to travel more than 50% of the time If you are interested in this job, please submit your resume via email to [email protected]. Logon to www.silestoneusa.com or www.cosentinonorthamerica.com for company and product information. This company is an equal opportunity employer.
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Internal Audit Analyst - Newfield
Overview: Reporting to the Internal Audit Manager, the Internal Auditor participates in the corporate internal audit function with a focus on planning and executing audits of complex systems and business and financial operations, ensuring internal controls are sufficient to safeguard company assets.
Position Description:
Facilitate and support management’s objective to design and operate effective and efficient internal control over financial reporting in a way that adds value for our business process owners
Assist process owners to “self-assess” the design and effectiveness of their processes and internal controls as part of the company’s Sarbanes-Oxley compliance effort
Plan, organize, and monitor audit fieldwork and deliverables
Perform internal audit procedures, including identifying and defining issues, developing criteria, reviewing and analyzing evidence and documenting client processes and procedures
Develop and maintain productive relationships with internal customers, including manager and director level personnel, and external auditors
Representing Internal Audit on company project teams, in management meetings and with external parties
Stay abreast of current internal auditing issues and practices through participating in professional development opportunities, training, professional association memberships and knowledge sharing with peers or colleagues
Develop an understanding and working knowledge of the E&P business cycles and their effect on financial information
Ability to lead audits independently or as a team member
Coordinate and participate on joint venture audits Requirements:
Bachelor’s or Master’s degree in Accounting or related Business field
One to three years of relevant work experience
E&P experience preferred
Relevant certification a plus (e.g. CPA, CIA)
Experience with data analysis tools a plus (e.g. ACL, IDEA)
Characteristics:
Honest, sincere, unquestionable integrity, credibility and moral character
Ambitious and highly motivated professional with excellent interpersonal skills and self-confidence
Demonstrates initiative, resourcefulness, and adaptability
Hands on team player with ability to effectively interact and communicate with all levels of personnel within the organization
Quick learner, strong analytical and reasoning skills with great attention to details
Multi-tasker who can meet tight deadlines and solve problems in time sensitive environment
Exceptional people skills
Job Requirements:
Normal office environment, with possible visits to field locations and platforms
Willingness to travel approximately 30%, both domestic and international
If you are interested in this job, please apply online at http://newfield-career-opportunities.ttcportals.com/jobs/94503-irc14174-internal-audit-analyst. Page 14
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Administrative Director, IT Security & CISO - HCHD
Overview: The Harris County Hospital District (hchdonline.com) is the community-owned healthcare system for
the nation’s third most-populous county, and offers inpatient and outpatient healthcare in more than
40 locations. Harris County Hospital District has been named among the Best Hospitals in the region
by U.S. News & World Report and is the recipient of the prestigious National Committee for Quality
Assurance designation for its network of patient-centered medical homes. The hospital district is staffed
by faculty and residents from nationally ranked medical schools, Baylor College of Medicine and The
University of Texas Health Science Center at Houston (UT Health).
Qualifications: Requires a Bachelor’s degree in Computer Science, Information Security or related experience;
Certified Information Systems Security Professional (CISSP); Certified Information Systems Manager
(CISM) or Certified Information Systems Auditor (CISA) and the following experience:
Minimum of ten years professional experience in the IT industry
Minimum of five years practical experience designing and implementing enterprise information technology security
Strong demonstrated knowledge of technologies including network, server, desktop, storage, and how security relates to the overall IT environment
Minimum of five years practical experience working with the HIPAA security regulation
Minimum of 5 years practical experience working with information privacy and security laws (such as FISMA, PCI-DSS, GLBA, FIPS, and data breach reporting laws), generally accepted information security principles, and accepted industry practice
Demonstrated professional experience in preparing and presenting information effectively, clearly, and concisely, in written and spoken form to a wide-range of internal and external constituencies, including non-technical executives, officers, product or service vendors, and middle-managers
Minimum of five years supervisory experience
Benefits:
Relocation assistance
Generous paid time off
Comprehensive medical coverage for employees and their families
Dental and vision plans
Life insurance
401(k) and 457 retirement plan
Tuition reimbursement If you are interested in this job, please email your resume to [email protected] or apply online at www.hchdonline..com.
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