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TRANSCRIPT
January 2016
Volume 52, Issue 6 Focus IIA What’s HOT?
• Next Week! Ethics
Panel
• Student Night
• Job Opportunities
- Stifel
- Scottrade
STL IIA Members –
Happy New Year and
welcome to 2016!!! I hope
everyone enjoyed the
Holiday break and you
were able to recharge the
battery. Each New Year
brings a chance to start
over, to develop new
habits, and continue to
improve our personal and
professional resume. The
IIA offers a great
opportunity with the latter.
Whether it is a new
certification (CIA, CRMA,
CCSA, CGAP, or the
CFSA) – plenty of
choices, or maybe you
have some passion for our
profession and are looking
for a place to get involved
– we are that place!!
Please reach out to me
and I will personally find
you a committee that
accommodates your
goals.
I am extremely excited
with the training
opportunities we have this
Spring! Our January
Ethics meeting is going to
be fresh and exciting with
the Panel we have put
together – Don’t Miss Out
on your chance to get
your 2 hours of Ethics
CPE for the year!
President’s Message
What’s Inside:
January Mtg. 2
New CIAs 2
Student Night 3
Multi-Track 4-5
Dec. Recap 6
Community Cnr. 6
Social Media 7
Protiviti 7
Kforce 7
Calendar 8
70th Celeb. 8
Scholarship 9
CAP Points 10
BSW 11
Scottrade Opp. 12
Leader Highlight 12
EBS 13
QA Committee 13
Rubin Brown 14
Stifel Opp. 15
Contacts 16
CAP Form 17
February Student Night
will again be a wonderful
chance to recruit the next
generation of auditors to
your Companies!! In
March, we will have our
signature event – the 6th
Annual Multi-Track
Conference at the
Lumiere Place co-
sponsored by the ACFE
Chapter! We have some
World-renowned
speakers, some GREAT
sponsorship opportunities
and a CHEAP discounted
rate if you register by
January 31. In April, we
will have our 2nd
Roundtable for new
auditors and an 8-hour
Hot Button Topic of Cyber
Security. We will try and
top all of that off with a
FUN 70th Anniversary
Celebration on May 19th
at Grant’s Farm. Please
mark your calendars for all
of these awesome events!
I would be remiss if I didn’t
remind you of our theme
this year: GET Involved. BE Connected. STAY Engaged. Now is your
opportunity, don’t put it off
any longer!! I hope to see
you at an event soon and
again, Happy New Year!!
Regards,
Brian M. Dobrynski 2015-2016
Chapter President
The IIA will NOT be offering a Spring subscription to our members / companies. We are excited to announce that we WILL continue this offer
for the Chapter Year of 2016-2017 (July-June), so please
be on the lookout in April and May for information!
Focus IIA – St. Louis Page 2 of 17
Page 2
St. Louis Chapter of the IIA
January 2016 Ethics Meeting
Thursday, January 14, 2016
Meeting Information
Location: Hilton St. Louis Frontenac 1335 S Lindbergh Blvd. Frontenac, MO, 63131 Time: 8:00 am - 10:00 am (Registration will start at 7:30) CPE credit: 2 hour(s)
About the Meeting This two-hour program will include a panel of Ethics professionals to speak on their experiences and answer ethics questions. Panelists will include:
Thomas Hilton - Adjunct Professor – Forensic Accounting, John Cook School of Business, St. Louis University
Carol Tate - Chief Ethics and Compliance Officer, McCarthy Holdings, Inc.
Cindy Morrison - Legal Project Manager, Armstrong Teasdale LLP
Cathy Hohl - Assistant VP and Assistant General Counsel, Federal Reserve Bank of St. Louis
Cost & RSVP Information Meeting: $70 for members, $80 for non-members Full time students are always welcome to attend our meetings for free! Course registration requirements: To register for this event, click here. If you have any questions, please feel free to contact Jen Murphy at [email protected]
Congratulations to our fellow IIA chapter
members who have achieved their certification!
CandidateName
Program Program Status
Initial Privileged
Date
Tamika Clay
Certified 9/22/2015
Timothy Pieper Certified 9/21/2015
Page 3 of 17 Focus IIA – St. Louis
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St. Louis Chapter of the IIA
February 2016 Student Night
Thursday, February 18, 2016
Meeting Information
Location: Hilton St. Louis Frontenac 1335 S Lindbergh Blvd. Frontenac, MO, 63131 Time: 5:30 pm - 8:00 pm (Registration will start at 5:00) CPE credit: 1 hour(s)
About the Meeting See Page 9 as well for more information… The purpose of this event is to increase awareness of internal auditing as a profession by connection students and faculty to internal audit professionals. We will have a panel discussing the various internal audit career paths available in St. Louis. Members of the panel will represent various industries and professional service firms. Following the panel there will be an open networking/career fair for students and professionals to meet. Note for students: Don’t miss the opportunity to apply for the $1,000 scholarship. Winners will be announced at student night. Scholarship applications are being accepted. For more information please apply online.
Cost & RSVP Information Meeting: $35 for members, $40 for non-members Full time students are always welcome to attend our meetings for free! Course registration requirements: To register for this event, click here. If you have any questions, please feel free to contact Jen Murphy at [email protected]
Volunteers needed! Contact Besa Dibwe at (314) 445-0076 or at mailto:[email protected] for further details.
Focus IIA – St. Louis Page 4 of 17
Page 4
Are You Ready for the Upcoming Season???
Get prepared with a day of Spring Training…. 3 tracks you customize to meet your specific needs:
Audit Skills
Fraud Skills
Soft Skills
6th Annual St. Louis IIA – Multi-Track
Co-hosted with ACFE @ Hotel Lumiere March 31st, 2016 - 7:30am- 5:00pm
8 CPE hours - $280 / Full-time Student Rate $120 Early Registration Discount Available if Register Prior to January 31, 2016 - $250
Registration available on St. Louis IIA chapter website -
https://chapters.theiia.org/St%20Louis/Events/Pages/2016-Multi-track-Event.aspx
Continued on next page…
6th Annual
St. Louis IIA
Multi-Track
Page 5 of 17 Focus IIA – St. Louis
Continued from previous page…
We are pleased to announce our Nationally Renowned Key Note Speaker Scheduled to Present:
Andrew S. Fastow - Despite today’s more regulated and enlightened business environment, we continue to witness “Enron-esque” failures of corporate governance. Enron’s former CFO will make observations about how the ambiguity and complexity of laws and regulations breeds opportunity for problematic decisions and will discuss what questions corporate directors, management, attorneys, and accountants should ask in order to ensure that their companies not only follow the rules, but uphold the principles behind them. Mr. Fastow was the Chief Financial Officer of Enron Corp. from 1998 – 2001. In 2004, he pled guilty to two counts of securities fraud, and was sentenced to six years in federal prison. He completed his sentence in 2011, and now lives with his family in Houston, Texas. Mr. Fastow currently provides litigation support at a law firm, and he consults with Directors, attorneys, and hedge funds on how best to identify potentially critical finance, accounting, compensation, and cultural issues.
Focus IIA – St. Louis Page 6 of 17
Page X Page 3
When: Thursday, February 25, 2016
Location and Time: The Chase Park, 6-9 pm
Sign up: Dessert First Website
Please indicate Rhonda Travers when registering if you wish to sit at her table.
Community Corner
Upcoming event to support the Girl Scouts of Eastern Missouri
This year, the IIA’s December Meeting took place on December 10th at Schlafly Bottleworks. Schlafly provided a speaker who discussed the history of beer making in St. Louis as well as how beer is made and the various methods used to create each type of beer. Included in the presentation was a sample of a variety of Schlafly’s beers demonstrating the differences in brewing technique and processes. Following the presentation the group spent some time catching up with other members networking and socializing.
December Meeting Recap
Have an upcoming charity event that is important to you? If you are personally involved with a charity event and would like to market your event, please submit the information by the 20th of the
month to the Newsletter Committee.
Congratulations! Business Journal’s 40 Under 40 class of 2016
Page 7 of 17 Focus IIA – St. Louis
Page 4
Join Our Community!
Become a Member Today
Visit Our Facebook Page
Join Our Linkedin Group
Follow Us On Twitter
Subscribe to Our RSS Feed
Social Media Update
We would like to thank everyone who shared their planned activities, trips or hobbies for
the holiday season.
As we enter into a New Year, we would like you to share and possibly inspire another Audit professional with a 2016 goal. Use #2016resolution to share what you would like to accomplish professionally in 2016.
Due to lower participation, we did not award a December winner. Therefore, this month
we will give away at least (1), but potentially (2) $25 Amazon gift cards (prizes dependent
on number of participants). Remember it only takes a second to share and your
chances of winning are very good.
Focus IIA – St. Louis Page 8 of 17
Page 5
IIA - St. Louis Chapter
2015-2016 Programs Calendar
Month Date Meeting
Type CPE Time Location Speaker Topic / Notes
January 1/14/2016 Meeting 2 8 - 10 AM Hilton
Frontenac Panel - Multiple
Ethics
February 2/18/2016 Meeting 1 5 - 7 PM Hilton
Frontenac Panel – Multiple
Student Night
March 3/31/2016 Multi-track Conference
8 8 AM - 5 PM Hotel Lumiere Multiple IA, Soft Skills and
Fraud Tracks
April 4/7/2015 Roundtable 1 4:30 – 6 PM TBD TBD TBD
April 4/21/2015 Meeting 1 8 - 9 AM Hilton Frontenac
TBD Cyber Security April 4/21/2015 Seminar 7 9 - 5 PM
May 5/19/2016 Finale 1 5 - 9 PM Grant’s Farm TBD 70th Anniversary
Celebration
Questions regarding CPE certificates? If so, you may contact Nathan Croll at [email protected].
St. Louis Chapter of the IIA’s 70th Anniversary is June 28, 2016 and as a Chapter we will
CELEBRATE on May 19, 2016 (Mark your Calendar).
More on that will be disbursed ASAP!
Page 9 of 17 Focus IIA – St. Louis
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Link to the Scholarship Application is on our IIA website – Check it out!
Focus IIA – St. Louis Page 10 of 17
Page 8
Enter CAP Points
The Chapter wants to achieve Platinum status again and we need your assistance…
If you have recently performed a speaking engagement, employed an intern, or written an article for a professional magazine or newsletter please complete the form at the end of this newsletter or better yet go to the chapter website and complete the on-line form “Enter CAP Points” tile under Quick Links or at… https://secure.blueoctane.net/forms/AUYKXNT9ZAT0
Platinum Pursuit
As of January 4, 2016
we have an estimated
647 CAP points!
Check out our “Quest for Platinum”
status every month!
Chapter Achievement Program (CAP) CAP is the acronym for Chapter Achievement Program. The program has been established on the premise that the basic mission of the chapter is to serve its members first and then the internal audit profession. The program, sponsored by the International IIA, encourages local chapters to be active both for the benefit of the chapter members and of the local community. Local chapters earn credits for the CAP through in the following categories: a) service to members; b) service to the profession, and c) chapter administration. The Chapter Achievement Program is made up of three performance levels: bronze (685 credits), silver (1,060 credits), and gold (1,560 credits). Thanks to your efforts, our chapter has attained gold status every year since 1997. After ten consecutive years of achieving gold, a chapter achieves Platinum level which this chapter has earned since 2006. So what can a member do to earn CAP points for the chapter? Examples, include:
Attend the monthly chapter meetings; Attend chapter sponsored seminars; Utilize the chapter sponsored Certified Internal Auditor (CIA) review course; Earn an IIA certification; Develop questions for the CIA exam; Recruit new members; Present speeches or training sessions; Write internal audit-related articles for publication; Provide an internal audit internship at your company for a student; and Come up with an innovative way to promote the chapter
So, it's easy to contribute and it doesn't take too much of an effort. You can report CAP activity on the chapter website or directly to the CAP Chairperson Brent Statler at [email protected].
GOLD Level 1,560
CAP points
SILVER Level 1,060
CAP points
BRONZE Level 685
CAP points
Page 11 of 17 Focus IIA – St. Louis
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Focus IIA – St. Louis Page 12 of 17
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Scottrade’s Internal Audit Department is excited to announce three great career opportunities!
• Senior Internal Auditor, Enterprise Services • Senior Internal Auditor, Brokerage • Senior IT Internal Auditor
The main purpose of these positions is to plan and execute various financial, compliance and operational audits for Scottrade Financial Services, Inc. to ensure adherence to applicable laws and regulations, as well as mitigate financial, operational, reputational and other identified risks. While the Brokerage position is specific to Brokerage Operations/Compliance related audits and the IT position is specific to IT related audits, the Enterprise position may include completion of Brokerage related audits, in addition to financial and shared services audits.
Scottrade, Inc., a leading investing services company, partners with more than three million retail clients to provide the trading services and investment solutions they need to overcome barriers to financial success. As one of the pioneers in online investing, Scottrade was founded on providing market access at a fair and reasonable price. Now, we are empowering a new age of investors by providing more. We create solutions that meet the needs of our clients and encourage them to plan for the future.
For details about these positions, please click on the IIA Chapter Careers Website or visit Scottrade at careers.scottrade.com.
Pag
This month’s Past IIA Leader highlight! Debbie Schultz
1 – In what year were you St. Louis Chapter President?
2006-2007
2 – What are some main changes in the profession (or skill changes) since you were a leader?
Cybersecurity risks have exponentially increased. We also have more of a risk based approach and move to more operational and IT auditing than compliance focused reviews.
3 – What was your biggest challenge in your time as a chapter leader?
Participation and membership building.
4 – How did the IIA help you in your professional career?
The IIA helped provide me with technical training as I came out of college with limited knowledge of the internal audit function. I also gained leadership skills through my service as an officer and board member.
5 – Any advice you would like to give the chapter and its members?
Take advantage of opportunities presented to further your technical and leadership skills. It can only benefit you personally and professionally! Also, take the time to give back to others joining the profession.
Page 13 of 17 Focus IIA – St. Louis
Page 99e
IIA’s Quality Assurance Review Committee As a reminder from the August Newsletter, if you feel your IA shop can benefit from a ‘fresh set of eyes,’ contact me at: David L. Richert, Jr. CPA, CIA Stifel Internal Audit Director One Financial Plaza | 501 N. Broadway St. Louis, MO 63102 314 342 3831 E-mail: [email protected]
Internal Audit (IA) performs as the eyes and ears of management, providing compliance, risk, assurance and operational coverage of the enterprise. But who audits the auditors? Why would auditors want to be audited? The consistent application of the principles of the IIA’s Quality Assurance and Improvement Program (QAIP) is a goal for each IA shop. Converting this goal into practice and affirming the success of the QAIP can be realized by an independent assessment performed by a ‘fresh set of eyes’- experienced professionals who offer independent, objective evaluation services to an IA shop. Also, if you would like to become that ‘fresh set of eyes,’ volunteer. And lastly, these assessments earn CAP points for our Chapter!
Page 15 of 17 Focus IIA – St. Louis
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Looking for career opportunities?
Our chapter website is a great resource to find out what
companies are currently looking for talent. Check it out!
We are featuring three exciting opportunities from Stifel
located in downtown St. Louis!
See our chapter website for more detail.
For more information about Stifel and to apply, visit their
website and apply here.
INTERNAL AUDITOR 1
POSITION SUMMARY
Performs operational, financial, and compliance audits of
various internal departments to evaluate the adequacy and
effectiveness of the organization's governance, risk management
process, system of internal control, and quality of performance
in carrying out assigned responsibilities in order to achieve the
organization's stated goals and objectives. Assists in drafting
audit plans and performs testing, document preparation and
research. Works under close supervision of the Director and/or
of senior members of the department. Scope of work is entry
level.
EXPERIENCE
Minimum Required: None
Desired: 1-2 years audit or financial industry experience
LICENSES & CREDENTIALS
Minimum Required: None
Desired: Progress toward professional certification in an audit
related area (e.g., CPA, CIA, CFE, or CISA)
SR. INTERNAL AUDITOR
POSITION SUMMARY
Conduct and supervise operational, financial, and compliance audits
of various internal departments to evaluate the adequacy and
effectiveness of the organization's governance, risk management
process, system of internal control, and quality of performance in
carrying out assigned responsibilities in order to achieve the
organization's stated goals and objectives. Help guide the work of
more junior-level auditors. Manage audit assignments under minimal
supervision of the Audit Manager / Director, fostering positive
interactions with business units. Areas of responsibility may include
back office (e.g., retail brokerage, institutional business, asset
management), front office (finance, operations, IT), and/or
banking/trust services. Scope of work is senior level.
EXPERIENCE Minimum Required: 5-7 years of internal audit, public accounting,
or related experience
Desired: 2-3 years financial industry experience strongly preferred
(banking or brokerage firm, or serving large financial clients in a
professional services firm)
LICENSES & CREDENTIALS
Minimum Required: Commitment to extend management and
technical skills via professional certification and/or licensing (e.g.,
CPA, CIA, CFE, or CISA; or Series 7, 24, 27, 99, or other relevant
license) Desired: None
INTERNAL AUDITOR 2
POSITION SUMMARY Plan and perform operational, financial, and compliance audits
of various internal departments to evaluate the adequacy and
effectiveness of the organization's governance, risk management
process, system of internal control, and quality of performance
in carrying out assigned responsibilities in order to achieve the
organization's stated goals and objectives. Draft audit plans and
perform testing, document preparation and research. Work
under close supervision of the Director and/or of senior
members of the department. Scope of work is advanced staff
level.
EXPERIENCE Minimum Required: 2-5 years of internal audit or public
accounting experience
Desired: 1-2 years financial industry experience
LICENSES & CREDENTIALS Minimum Required: Progress toward professional certification
in an audit related area (e.g., CPA, CIA, CFE, or CISA)
Desired: Willingness to pursue professional licenses (e.g.,
Series 7, 24, 27, 99, or other relevant license)
Focus IIA – St. Louis Page 16 of 17
Chapter Contacts 2015-2016 Chapter Officers St. Louis Board of Governors
President Brian Dobrynski Wells Fargo (314) 875-2453 [email protected]
Executive Committee Diane Cody Ernst & Young (314) 290-1210 [email protected]
1st Vice President Liaison Rhonda Travers Scottrade (314) 965-1555 x2918 [email protected]
Education Committee Gail Peters Washington University (314) 362-4915 [email protected]
First Vice President Jennifer Murphy Protiviti (314) 656-1729 [email protected]
Executive Committee Katie Statler Brown Shoe Company Inc. (314) 854-4138 [email protected]
2nd Vice President Liaison Kate Turner Laclede Gas Company (314) 342-3334 [email protected]
Education Committee Ted Flom Brown Smith Wallace LLC (314) 983-1294 [email protected]
Second Vice President Regina Jones TricorBraun (314) 539-8006 [email protected]
Executive Committee Ron Steinkamp Brown Smith Wallace LLC (314) 983-1238 [email protected]
Secretary Liaison Debbie Schultz Federal Reserve Bank of St. Louis (314) 444-8927 [email protected]
Human Resources Committee Rick Feldt RubinBrown (314) 290-3220 [email protected]
Secretary Suzanna Ney Lumiere Casino (314) 881-7711 [email protected]
Executive Committee John Saric Federal Reserve Bank of St. Louis (314) 444-8713 [email protected]
Treasurer Liaison Dawn Dossett Scottrade (314) 965-1555 X1203 [email protected]
Human Resources Committee Steve Wang Protiviti (314) 656-1744 [email protected]
Treasurer Tawana Turner Wells Fargo (314) 875-1211 [email protected]
Audit Committee Kevin Dillon St. Charles County (636) 949-7455 [email protected]
Promotions Committee Tony Taylor Silgan Plastics (314) 523-4311 [email protected]
Ex Officio Member (NACRC) Jason Minard Wells Fargo (314) 875-2203 [email protected]
Chapter Committee Chairs
Academic Relations - Co Chair Jerri Carrier Wells Fargo (314) 875-1411 [email protected]
Awards Sarah Knox Hansen AT&T (314) 331-1271 [email protected]
Chapter Achievement Brent Statler St. Charles County (636) 949-7455 [email protected]
Promotions – Co Chair Rhonda Travers Scottrade (314) 965-1555 x2918 [email protected]
Academic Relations - Co Chair Besa Dibwe Centene (314) 445-0076 [email protected]
Budget and Finance – Co Chair Tamara Richter Yao Enterprise Holdings Inc. (314) 512-4883 [email protected]
Directory Amy Ribick Brown Smith Wallace (314) 983-1347 [email protected]
QAR Dave Richert Stifel (314) 342-3831 [email protected]
Advertising Brittany Wiederhold U.S. Army Audit Agency (618) 604-5752 [email protected]
Budget and Finance – Co Chair Martha Hernandez SunEdison (314) 770-5415 [email protected]
Multi-track Event Christina Rousseau Wells Fargo (314) 875-1414 [email protected]
Roundtables Tim Grace MorganFranklin Consulting (314) 623-8216 [email protected]
Arrangements Jennifer Jakel Reliance Bank (314) 569-7288 [email protected]
Budget and Finance – AP & AR John Drury and Ava Turner RubinBrown & Wells Fargo (314) 290-3250 & (314) 875-7377 [email protected] [email protected]
Newsletter Kelly Finke & Apryl Kemper AT&T (314) 534-8160 [email protected]
Social Media Tamika Clay CHAN Healthcare (314) 802-2035 [email protected]
Attendance and Membership Nathan Croll RubinBrown (314) 290-3484 [email protected]
Certifications Paul Renner Protiviti (618) 604-1757 [email protected]
Programs Evan Gruenkemeyer Protiviti (314) 656-1747 [email protected]
Webmaster/Mass Emails Aaron Thorne Graybar Electric Co. (314) 573-9535 [email protected]
Page 17 of 17 Focus IIA – St. Louis
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Platinum Pursuit
IIA–St. Louis Chapter
Report of CAP Activity
NAME: __________________________________________________________________
COMPANY: ______________________________________________________________ PHONE NUMBER: _________________________________________________________ TYPE OF ACTIVITY: (speaking, editorials, articles, research, student internships, etc.) _________________________ TOPIC: (please attach agendas, articles)_____________________________________________________________ LENGTH OF PROGRAM (# CPE hours):________________________________________ DATE OF ACTIVITY: _______________________________________________________ LOCATION (city/state or country): _____________________________________________
DESCRIPTION / OTHER INFORMATION: ______________________________________ __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
Please send, fax, or e-mail to:
Brent Statler St. Charles County Government
201 N. Second St. RM 526 St. Charles, MO 63301
Phone: 636-949-7455 Ext 1
Fax: 636-949-7467 [email protected]
Activity can also be reported via the Chapter website