August - Chapters Site - The Institute of Internal Auditors
Transcription
August - Chapters Site - The Institute of Internal Auditors
New York Chapter of the Institute of Internal Auditors www.nyiia.org NEW YORK REPORTS PLATINUM AWARD CHAPTER August 2013 Knowledge Through Sharing and Learning I’m just back from a long weekend on the Jersey Shore - it’s truly amazing how the strength of a community and supporters around our great nation have made it possible for these wonderful towns to start their way back from Sandy. It’s hard to believe summer is coming to an end, but here we are in September. Labor Day is a celebration of the American labor movement and the dedication to the social and economic achievements of our workers. It’s a celebration of the contributions workers made throughout the year. We should also celebrate the achievements of the Internal Audit profession and how our contributions to the strength, prosperity and health of our respective organizations. The NY IIA Executive committee joins in my excitement for a great chapter year and we are committed to serving our members. We are actively planning for our 2014 Regional Workshop, planned this year’s workshops and have started the year early with two successful Business & Industry (B&I) events. Our B&I events, Coordination between the three lines of defenses in June and Emerging Technology Risks in August were attended by approximately sixty members and we give special thanks to E&Y and New York Life for providing space for our two events. We’re also happy to report that Raquel Marin-Oquendo started back the longstanding tradition of hosting a baseball game for our members, the New York Yankees and Los Angeles Angels. Our 2013/2014 Workshop year kicks off on September 13th at Baruch College where former NYPD Commissioner Bill Bratton will present “Security in Today’s World.” We will also have Contemporary Business Concepts spend the day with us focusing on “Risk Assessment, the Steps to Success”. For more information see later in this month’s newsletter. Enjoy the rest of your summer. Please check our new website at www.nyiia.org to keep updated on Chapter activities and for information on upcoming events. If you are interested in volunteering for the Chapter or speaking at one of our events, please contact me at skenney@deloitte.com. I look forward to seeing you at one of the Chapter’s upcoming event. Best Regards, Scott Kenney, President IIA New York Chapter 1 In This Issue Page President’s Message 1 NY Chapter Information 2013/2014 Chapter Officers 2013/2014 Committee Chairs 3 4 Upcoming Events and Workshops Schedule 2013 – 2014 September IIA Workshop IIA NYC and IIA HQ COSO Training ISACA Northeast Region Chapters Conference IMA and IIA NYC Chapter – Happy hour 5 6 9 10 12 Certification Information CIA / CGAP Review Course Flyer iPace Online Course 13 14 Member News Group Subscription Plan 2013-2014 Subscription Order Form 2013-2014 Website Update Member Benefits Social Media Update Share your Knowledge Membership Update Employment Opportunities Academic Relations Committee 16 18 19 19 20 20 21 21 22 2 2012 - 2013 IIA NY Chapter Officers President SCOTT KENNEY Deloitte & Touche (212) 436-2103 E-Mail: skenney@deloitte.com Executive Vice President RAQUEL OQUENDO Columbia University Medical Center (212) 305-9622 E-Mail: rm2698@mail.cumc.columbia.edu Vice President-Professional Development JUAN PEREZ New York Life Insurance Company 212-576-7984 Email: juan_h_perez@newyorklife.com Vice President - Professional Services CARMEN CACEDA Email: Carmen_Caceda@msn.com Vice President & Secretary ALEX CACANANDO Email: cthd777@yahoo.com Vice President – Treasurer UDAY GULVADI Parkview Risk Advisors (646) 359-3146 Email: uday@telavance.com Immediate Past President (2010-2011 Chapter Year) Brian Mannix New York Life Insurance Company (212) 576-5928 E-Mail: bmannix@nyl.com 3 2012 – 2013 IIA NY Chapter Committees CAP Reporting Officer: Scott Kenney Chair: Raquel M. Oquendo Audit: Officer: Scott Kenney Chair: Ines Janssen Nominating: Officer: Scott Kenney Chair: Brian Mannix Volunteer: Officer: Scott Kenney Chair: TBD Long Range Planning: Officer: Raquel M. Oquendo Chairs: Paul Flora, Nick DiMola, Laura Lowenhaupt General Auditors’ Roundtable: Officer: Raquel M. Oquendo Chair: Paulette Mullings Bradnock Business and Industry: Officer: Raquel M. Oquendo Chairs: Stacey Guardino, Uday Gulvadi, Tracey Thomas/Simon Wong, Richard Marinello Special Events: Officer: Raquel M. Oquendo Chairs: TBD Government Audit Committee: Officer: Raquel M. Oquendo Chair: Ellen Issacs History: Officer: Raquel M. Oquendo Chairs: TBD Academic Relations: Officer: Raquel M. Oquendo Chairs: Rachel Bond, Olga Davis, Jennifer Morris, Cheryl Lovell, Altagracia Rodriguez, Kate Aponte Annual Audit Seminar: Officer: Juan Perez Chairs: Uday Gulvadi, Carlos Garcia, Andrew Goldberg, Rachel Bond, Erin Morrow, Raquel M. Oquendo Subscription: Officer: Carmen Caceda Chair: Bill Morello CIA Exam: Officer: Alex Cacanando Chair: Christina Ostren Membership: Officer: Alex Cacanando Chairs: TBD Outreach: Officer Alex Cacanando Chairs: Tracey Thomas Workshops: Officer: Juan Perez Chairs: Jim McCabe, Francisco Perez, Aleksandra Terzano l Awards Dinner: Officer: Alex Cacanando Chairs: Mariaelena Deloux, Kathy Rennert Luncheon: Officer: Juan Perez Diversity: Officer: Alex Cacanando Chairs: Junny Rivera Newsletter: Officer: Carmen Caceda Chair: Dainora Tommasino Social: Officer: Alex Cacanando Chairs: Coryse Farris Social Media /Communications: Officer: Carmen Caceda Chairs: Brian Mannix, Chris Cariello Financial Reporting& Controls: Officer: Uday Gulvadi Chairs: Carlos Garcia i Awards and Gifts: Officer: Uday Gulvadi Chair: Gabrielle Triplette Public Relations, Advertising and Employment: Officer: Carmen Caceda Chair: Andrew Goldberg 4 IIA NY Chapter 2012 – 2013 Workshops / Luncheons Refer to page 16 - 17 for workshop prices and page 18 for subscription form September 13, 2013 Location: Baruch College Presented by Cheskis Consultant LLC PM: Social Media, What are the Risks and How to Manage Them Presented by Deloitte AM: Risk Assessment The Steps to Success - Presented by Contemporary Business Concepts, LLC (full day session) Luncheon: Security in today's World Presented by former New York City police commissioner Bill Bratton January 10, 2014 Location: Baruch College Full Day Session: The Journey from 1992 COSO to 2013 COSO and Overview of COSO 2013 Framework - Presented by Deloitte October 18, 2013 Location: Baruch College AM session: IT Security and Fraud Prevention Techniques - Presented by Protiviti Luncheon: Fiscal Cliff 2013Impact for Internal Auditors Presented by Honkamp Krueger & Co., P.C. PM: The Psychology of Fraud - Presented by GRC Research and Consulting February 7, 2014 Location: Baruch College Full Day Session: Audit Planning to Address Fraud Presented by LSU – College of Business- Grant Thornton Luncheon: Reporting on Tone at The Top Presented by Pwc November 15, 2013 Location: Hard Rock Cafe March 14, 2014 41th Annual Audit Seminar Location: TBD AM: ERM - Risk Appetite and Tolerance, Practical approach to Build an Effective Program - Presented by Experis Luncheon: Developing a World Class Internal Audit Department Presented by Mike Taylor, Head of Global Internal Audit at Experian PM: T Practical Use of Data Analytics Presented by Pwc April 11, 2014 Location: TBD AM: Using Business Intelligence for Compliance Internal Audits - Presented by Telavance Consulting Luncheon: TBD May 16, 2014 Location: United Federation of Teachers December 13, 2013 Location: Baruch College AM: Beyond the checklist Interview Skills for Auditors - Presented by GRC Research and Consulting Location: TBD AM: Developing a Strategic Vision and Audit Plan - Presented by Experis Luncheon: Fit for Purpose Controls 5 IIA NY Chapter September 2014 Workshop Date: Times: Location: Friday, September 13, 2014 8:30 AM – 4:30 PM Two Baruch College 55 Lexington Avenue Room 14-220 New York, NY 10010 CPE: 7 credits will be awarded for the full day workshop 3 credits will be awarded for half-day workshop 1 credit for luncheon workshop ~~Registration is open~~ Members: $175 Luncheon Only (Members): $60 ½ day with Lunch (Member): $90 ½ day without Lunch (Member): $90 Non-Members: $195 Luncheon Only (Non-Members): $70 ½ with Lunch (Non-Member) $100 ½ day without Luncheon Non-Member: $100 AM: 8:30 am - 11:30am (3CPE) Presenters: John McKeever, President & COO of Contemporary Business Concepts, LLC Presentation Topic: Risk Assessment, The Steps to Success Program Description: Risk can be considered one of the barriers to success in business or in most anything. In the simplest concept, business has three components. The components are objective, risk, and controls. The objective is what is trying to be accomplished, the risk is what will slow down or stop the achievement of the objective, and the control is what will minimize the risk so that the objective can be accomplished. Risk is inherent in every business everyday as well in everyday life. The ability to understand, identify, and prioritize risk, is the key to success. The adequate ability to recognize and assess risk will provide guidance to the adequate management of risk (the application of appropriate and timely controls). 6 This program will help you: Put risk into perspective Identify risk and potential risk exposures Measure risk Prioritize risk Understanding and recognizing risk when you see it Increase your awareness of potential risk areas Demonstrate the utilization of risk recognition tools such as: CSA Delphi Technique professional associations history Demonstrate the utilizing of risk measurement and prioritization tools such as: working backward the annualized loss expectancy model the modified annual loss expectancy model the relative ranking model and the matrix risk measurement and prioritization model John McKeever, President & COO - John has served as an Operations Manager, Consultant, Instructor, and on the audit staff of AT&T. During his 15 years in the audit department at AT&T, he conducted and led a wide range of audits and consulting projects. These included numerous audits and projects of finance, operations, and information technology processes. John frequently speaks at public seminars, professional associations, state and federal agencies, and corporations. His work has included developing and delivering risk and control management programs specifically focused for the needs of Senior Executives, Boards of Directors, and Audit Committees. While in private practice; at the AT&T School of Business; and at The Institute of Internal Auditors John has developed and delivered a number of programs which include: Consulting: A Value Added Service The Tools and Techniques That Make It Work, COSO The Steps To Success, Help Your Client Succeed with Control Self-Assessment, The McKeever CCSA Study System, and The McKeever CRMA Study System. For his achievements as a seminar leader, The Institute of Internal Auditors has awarded John the designation of Distinguished Adjunct Faculty Member. In addition John has authored numerous research papers that have addressed the concepts of process improvement in business, employee empowerment, and the management of effective teams. Using these tools, he has guided and encouraged thousands of domestic and international professionals to move toward process and business improvements. John has degrees in Business Administration and Management from Northeastern University, a Master of Science Degree in Management from Stevens Institute of Technology, and a graduate 7 level Certificate in Total Quality Management from the University of Phoenix. He is a Certified Quality Auditor, a Certified Fraud Examiner, a Certified Business Manager, a Certified Professional Consultant, and holds a Certification in Risk Management Assurance. In addition, John holds both a Control Self-Assessment Qualification and a Certification in Control Self-Assessment. He is a member of the American Society for Quality, The Institute of Internal Auditors, The Association of Business Professionals in Business Management, and the Association of Certified Fraud Examiners. Luncheon Workshop: 12:30pm – 1:30pm (1CPE) Presenters: Bill Brandon former NYPD Commissioner Presentation Topic: Security in Today’s World Bill Brandon, former NYPD Commissioner - Bill has been the president of The Bratton Group LLC since 2000 and serves as its Chief Executive Officer. Mr. Bratton serves as Senior Advisor of Kroll Advisory Solutions of Altegrity, Inc. He has over 40 years of experience in developing and executing crime reduction strategies in major cities throughout the United States and abroad. He served as Chief of Police of the Los Angeles Police Department and Police Commissioner of the New York City and Boston Police Departments. From 1998 to 2000, Mr. Bratton served as President and Chief Operating Officer of CARCO Group, Inc. In 1991, he served as Superintendent in Chief of the Boston Police Department and was appointed Police Commissioner of the Boston Police Department in 1993. He served as a Senior Consultant to Kroll Public Services Safety Group and Crisis and Consulting Management Group. From 1990 to 1991, Mr. Bratton served as Chief of the New York City Transit Police. From 1994 to 1996, Mr. Bratton served as Police Commissioner of the City of New York. Mr. Bratton led the development of CompStat, the internationally acclaimed computerized crime-mapping system advanced by the NYPD in the 1990s, which is now used by police departments nationwide. He served as Chief Executive of the LAPD from October 2002 to October 2009 and the New York Police Department (NYPD). From 1996 until his service in Los Angeles, Mr. Bratton worked in the private sector and formed The Bratton Group, LLC in 1999. 8 NEW! Are You COSO Ready? Workshop In May, the Committee of Sponsoring Organizations of the Treadway Commission (COSO) issued the 2013 Internal Control–Integrated Framework (Framework) - a broadened and updated version of the 1992 Framework which has been the profession’s leading guidance for designing, implementing, and evaluating a system of internal controls. To expand awareness of the 2013 Framework and help our members gain insight into implementing it, The IIA’s New York Chapter and IIA HQ will host a 3-hour COSO Training at Baruch College located at One Bernard Baruch Way on Thursday, Sept. 26, 2013 from 8:30 a.m. – 12:30 p.m. EST. After the workshop, participants will be able to describe the changes in the COSO IC – IF 2013 and implications for implementing/transitioning to COSO 2103 by: 1. Explaining the call-to-action for internal auditors. 2. Recognizing the key changes in the 2013 COSO framework by: Discussing at high level the changes in each of the five COSO components. Identifying the 17 principles and where they fit in each component. 3. Discussing the implications of the updated framework on the entity’s implementation/transition plan. 4. Discussing the implications of the updated framework on internal audit activities. 5. Identifying the resources available through The IIA’s COSO Resource Center. Three CPE credits are available and the workshop fee is $175 USD. To register, go to: https://na.theiia.org/training/seminars/Pages/Are-You-COSO-Ready-New-YorkChapter.aspx?utm_campaign=COSO_NY&utm_medium=email&utm_source=IIA or call +1-407-937-1111. 9 ISACA Northeast Region Chapters Conference Every few years in a breakthrough in technology changes the way companies conduct business. As management does its best to stay relevant and meet customer demand, technology experts in Governance, Security, Risk and Assurance are there to ensure technology is deployed effectively, efficiently, and securely. The Board of Directors from the Philadelphia, New England, New York Metropolitan, Greater Hartford, and Rhode Island Chapters have come together to organize an amazing two day conference for our members to stay relevant, enhance professional relationships, sharpen skills, and earn CPE’s needed to maintain CISA, CRISC, CISM, and CGEIT certifications. Join us in our mission to ensure North American workers are skilled to embrace tomorrow’s technology and the process changes it brings. Registration is from 8:00-8:30 AM, followed by an outstanding keynote address and 32 sessions across three tracks: Governance and Risk, Audit, and Security. When: Monday, September 30, 2013 - Tuesday, October 1, 2013 8:00 AM - 5:30 PM Where: Marriott Teaneck at Glenpointe Hotel 100 Frank W. Burr Boulevard Teaneck, New Jersey 07666 Experts will lead interactive discussions on diverse topics such as: Governance Track: Management Solutions to Recurring Issues Program Governance during Business and IT Transformations HIPAA Compliance Governance of Big Data Why Techniques such as RCSA's, Registers and Heat Maps are not only a Wasteful, but Dangerously Distracting Audit Track: 10 How to Audit for PCI Compliance IT Audit Director Panel Discussion IT Audit for the Non-IT Auditor How to Verify AWS Cloud Security Key Requirements of a Successful DB2 Audit Security Track: Changes in Windows Server 2008, and Server 2012 for the Security Professional Mobile Security - Where the Real Risk Is Protecting Data in the Post PC World Wireless Security Virtual Reality- Understanding the Components of Virtualization Day 1 concludes at 5:00 PM and is followed by a cocktail hour and networking. CPE Credits : 16 Be sure to reserve your room at the Teaneck Marriott at Glenpoint by September 9th to receive the group rate of $159 a night ($70 savings) by calling 1-800-992-7752 and mentioning the conference! 11 12 13 14 15 THE INSTITUTE OF INTERNAL AUDITORS NEW YORK CHAPTER GROUP SUBSCRIPTION PLANS - 2013-2014 The New York Chapter of the Institute of Internal Auditors is pleased to announce the workshop/luncheon program for the upcoming chapter year. The Chapter is again offering eight luncheon meetings, eight full-day workshops, and the all-day Annual Audit Seminar. We are planning to hold these workshops and luncheons in either at Baruch College or The Hard Rock Café. The Annual Audit Seminar is tentatively scheduled for March 14, 2014. We will keep you informed of the Annual Audit Seminar program and final location. This year …. We continue offering the option to attend half day sessions by using half of a full day credit! Note: if this option is chosen, the organization purchasing the ticket will only be allowed one luncheon attendee per every 2 half days used. Please see the enclosed calendar of luncheon and workshop topics that have been scheduled to provide 63 CPE credits on a range of subjects to both new and experienced auditors. Registration is open to members and non-members of The Institute of Internal Auditors. Subscription Plans and Registration Fees: In an effort to achieve our objective of providing quality, affordable training and education programs, the Chapter is once again offering discounted subscription plans. In addition to discounted rates, subscription plans provide flexibility. Subscription tickets are interchangeable among members of your organization and there is no limit to how many can be used for a single workshop or luncheon meeting. For this chapter year, we are offering the following subscription plan options at the following rates: Plan 8 Workshops w / Annual 4 Workshops w /Annual 4 Workshops w/o Annual 9 Luncheons 4 Luncheons Annual Cost of Subscription Plan Discount Rate (off Regular Purchase Price) $ 1,200 $ 800 28% 18% $ $ $ $ 14% 26% 17% 16% 600 400 200 230 Subscription tickets must be used at any training session during the September 2013 - May 2014 Chapter year and attendees from your organization can differ for 16 each workshop and/or luncheon meeting attended. There will be no refunds for tickets not used by the April 2014 workshop. For those unable to commit to our subscription plan, the Chapter is offering the following affordable rates for individually purchased tickets for IIA members*. Individual Event Registration Fees: Workshop/ Luncheon/ Annual 2013-2014 IIA Member* Rates Monthly Workshop - Full Day $ Monthly Workshop – Lunch Only $ Annual Audit Seminar - Full Day $ 175 60 275 *Must be a current IIA Member. Slightly higher pricing applies to non-members. Subscriptions provide quality training, flexibility, and savings of up to 28% off the regular individual registration price! To register your organization, please complete the attached Group Subscription Plan - Order Form and e-mail, fax, or mail them to: Bill Morello - IIA New York Chapter New York Life Insurance Company 51 Madison Avenue – Room 706 New York, NY 10010 E-MAIL: William_Morello@newyorklife.com FAX: 212-589-4447 Please make all checks or money orders payable to Internal Auditors- New York Chapter address. 17 The Institute of and mail them to the above Order Form 2013-2014 THE INSTITUTE OF INTERNAL AUDITORS NEW YORK CHAPTER 2013 - 2014 GROUP SUBSCRIPTION PLAN ORDER FORM & INVOICE PLEASE PRINT NAME: __________________________________________________________________ ORGANIZATION: __________________________________________________________________ ADDRESS: __________________________________________________________________ __________________________________________________________________ PHONE NUMBER: ___________________________ FAX NUMBER: _________________________ E-MAIL ADDRESS: ___________________________________________________________________ SUBSCRIPTION PURCHASED TOTALS LUNCHEONS ONLY NUMBER (9 Luncheons) (4 Luncheons) WORKSHOPS (INCLUDES THE LUNCHEONS) With Annual Seminar (8 Workshops) With Annual Seminar (4 Workshops) Without Annual Seminar (4 Workshops) ADDITIONAL TICKET PURCHASES Annual Audit Seminar - Member (Order by 12/31/2013 to get the discounted price of $230.) PRICE __________ __________ @ @ $ $ 400.00 EACH = 200.00 EACH = ____________ ____________ __________ __________ __________ @ @ @ $ 1,200.00 EACH = $ 800.00 EACH = $ 600.00 EACH = ____________ ____________ ____________ __________ @ $ ____________ 230.00 EACH = AMOUNT DUE MAKE CHECKS PAYABLE TO - THE INSTITUTE OF INTERNAL YORK CHAPTER AND MAIL THEM TO: ____________ AUDITORS--NEW BILL MORELLO -- IIA NEW YORK LIFE INSURANCE COMPANY 51 MADISON AVENUE – ROOM 706 NEW YORK, NEW YORK 10010 TELEPHONE: 212-576-7745 FAX: 212-589-4447 E-mail: wmorello@newyorklife.com Tax ID No. 23-7350019 18 Website Update The IIA New York Chapter website is in the process of been updated and revamped! Be on the lookout for the NEW NYC IIA Website which should be finalized and released shortly to see all the new features that it offers to all our members. Members Benefits As a valued member of the Institute of Internal Auditors and the New York Chapter, I’d like to remind you of just some of the benefits that are available to you as members. Membership entitles you to: Member Only Discounts through the IIA’s Affinity Program-The IIA has partnered with a select host of companies to provide our members with special discounts on products and services. These companies include: Dell, Geico, Hertz and Omni Hotels, among others. Member Only Discounts on Training through the Institute and the New York Chapter- As a member of the IIA, you are entitled to valuable guidance, training, and services at discounted prices including : o o o o Workshops Conferences Seminars o Webinars, webcasts and elearning opportunities Vision University Member Only Rates on Items in the IIA Bookstore and Professional Certification Exam Fees Instant Access to Valuable Reference Tools and Resources for the Profession- These include: o o o Professional Practice Framework Practice Advisories Subscription to Internal Auditor Magazine We hope that you take advantage and enjoy the many benefits the Institute of Internal Auditors and the New York Chapter Please visit the IIA at http://www.theiia.org/ for the latest information on member benefits or at https://www.theiia.org/index.cfm?act=form.newmember to become a new member and take advantage of significantly reduced membership rates. We look forward to seeing you and your colleagues at our upcoming events. 19 Social Media Update We invite our members of the IIA New York Chapter to share your knowledge and enhance networking opportunities to. Please join the NY IIA Chapter LinkedIn group. Follow us on the following sites: http://www.linkedin.com/groups?gid=2280322&trk=myg_ugrp_ovr Other IIA sites to follow: http://www.facebook.com/TheInstituteofInternalAuditors http://twitter.com/#!/theiia Share Your Knowledge New York Chapter is full of experienced auditors; this is an opportunity for members to share and learn from each other. You can contribute in any of the three ways: Expertise Stories Books Wisdom, tip, insight or technique that you’ve found improves your audit process or saves you time. How did you get to where you are today? What have you been reading? We’ll choose two each month and list them. 20 For other members interested in submitting information to be published in our newsletter, please send an email to our VP of Professional Services and Newsletter Officer Carmen Caceda at Carmen_Caceda@msn.com by the 20th of each month. Membership Update Not receiving Chapter e-mails and Workshop notifications? Please UPDATE YOUR IIA PROFILE! Log onto http://www.theiia.org using IIA Member ID and Password . 1. 2. 3. Volunteer Corner If you are interested in volunteering for our chapter, please reach out to our Volunteer chair, Debra Soumare @ debra.stbernard@aeroflex.com Employment Opportunities If you are looking for a new opportunity, we currently have new job posting on our website http://www.nyiia.org/careers/index.php listed below are just some of the companies offering Career Opportunities: PwC Busy Season Internal Auditor - NY Individuals or organizations interested in posting job opportunities should submit a condensed job description to the Employment Officer, Carmen Caceda @ Carmen_Caceda@msn.com 21 Academic Relations Committee The chapter's Academic Relations Committee presents internal audit related subject matter to students at local college and university career fairs. If interested, your organization can take the opportunity to have any open positions communicated at these events. If interested, contact Scott Kenney @ juan_h_perez@newyorklife.com Also, if anyone with Student Internship opportunities, please contact our Academic Relations Committee Officer Scott Kenney @ juan_h_perez@newyorklife.com 22