Sponsorship Program Dear valued member, We trust that your 2016 - - PDF document

President’s Message

Dear Orange County Chapter Members, As the summer period draws to a close, we are just getting started at the IIA in Orange

• County. Last month we held our first

luncheon for the Chapter year. Douglas Hileman, President of Douglas Hileman, LLC, filled every seat in the house as he delivered his “Frameworks for Non-Financial Reporting”. The Programs Committee has also been hard at work creating an impressive calendar of training events. Here are some highlights of what you can expect over the upcoming months: On September 20th, we have Bob Conway, Professional Practice Director from CNM, LLP speaking on “The PCAOB’s Intensified Focus on Internal Controls over Financial Reporting.” Our Bob’s don’t end there! On November 4th, we have secured the COSO Chairman, Bob Hirth, to address the CAE Roundtable group in a free breakfast gathering and then present as our keynote speaker for the all-day training event that will follow from 9am until 5pm. The theme for that event will be “Industry Trends and Common Challenges with Internal Audit” – 1.5 CPE’s for CAE’s and an additional 8 CPE’s for the one-day training. Registration links for both events can be located below. Now that I have given my two Bob’s worth, I would be remiss if I did not tell you to mark your calendars for another exciting training event we are planning for Spring 2017. We have partnered with the Orange County Chapter of ISACA to deliver a two-day fraud conference. This is a great

• pportunity to hear from a diverse slate of speakers and earn 16 CPE’s!

Here at the IIA OC Chapter, I am very fortunate to have an exceptional team working with me; however, we still need your help. Specifically, we have an immediate need for a CAP Chairperson and a backup Website

• Administrator. If you have an interest and would like to volunteer, please

contact me at jonathan.jayasinghe.iia@gmail.com. Last but not least, I would like to recognize and thank EY, Kia, Protiviti and Sunera, who have signed up to support the Chapter as sponsors for the upcoming year. If you are interested in this opportunity, please refer to the Sponsorship Program below. We look forward to seeing you at the September 20th lunch meeting. Best regards, Jonathan Jayasinghe President IIA Orange County Chapter

Table of Contents

President’s Message 1 Sponsorship Program 2-4 September 20 Chapter Meeting 5 2016 Fall Conference 6 West Region #3 District Conference 7-11 2017 Western Regional Conference 12 2017 International Conference 13 New IIA Members/Cert 14 Upcoming IIA Conferences 14 IIA CIA Learning 15 Gleim CIA Review Ad 15 Employment Ads 16-21 Placing a Job Ad 22 Call for Speakers 22 Officers & Committees 22

2 IIA ORANGE COUNTY CHAPTER September 2016

Sponsorship Program

Dear valued member, We trust that your 2016 year is going better than you could have ever imagined! Here at the Institute of Internal Auditors in Orange County, our year is just getting started. We are setting goals based on feedback from our Annual Needs Survey and endeavor to exceed your expectations as local support for the profession. This year we hope to bring together some of the leading businesses and firms in the county to provide you with opportunities to increase your organization's visibility, as well as network with and support over 600 internal audit professionals and other specialists. We have decided to continue and expand our highly successful sponsorship program. For a one-time donation, you will be able to promote your business, secure priority selection* should you wish to make a presentation at our events AND obtain free admission to training sessions. We feel that the one-time annual donation approach takes the hassle out of sponsorship process and provides benefits that reach further than just one or two events. We hope that you will join your local Chapter and help us to help you! Best regards, Jonathan Jayasinghe President IIA Orange County Chapter

*Note: We will do our very best to secure speaker slots that accommodate your requested timing. However, due to the nature of the scheduling process, we are unable to guarantee that your request will be confirmed. Speaker requests will be processed in the order they are received.

3 IIA ORANGE COUNTY CHAPTER September 2016

Sponsorship Options

A – Gold Sponsorship ($2,000)  3 free attendees at each lunch event, the 1-Day November event and 2-Day March event.  Sponsorship recognition at each lunch event, the 1-Day November event and 2-Day March event.  Priority selection to speak at lunch events, the 1-Day November event and 2-Day March Event. B – Silver Sponsorship ($1,500)  2 free attendees at each lunch event and 1-Day November event.  Sponsorship recognition at each lunch event and the 1-Day November event.  Priority selection to speak at lunch events and the 1-Day November event. C – Bronze Sponsorship ($1,000)  1 free attendee at each lunch event.  Sponsorship recognition at each lunch event.  Priority selection to speak at lunch events.

Payment

Please make checks payable to “Institute of Internal Auditors Orange County Chapter” Address: 14252 Culver Drive, Ste. A581 Irvine, CA, 92604 Please submit your payment as soon as possible in order to redeem the full benefits of this offer. Our first event is on August 16th!

Terms and Conditions: No refunds are available on unused attendance. Each sponsor must designate an authorized contact for RSVP purposes. Free attendance to events is transferable should you wish to send clients or others, instead of employees. The designated contact must RSVP on behalf of all attendees and cannot exceed the number of free designated seats. Additional attendees will be charged at the standard registration cost.

2016-17 Event Calendar

Lunch Meetings – Held on the 3rd Tuesday of each month at the Equinox, Irvine 1-Day Training Event – November 2016 2-Day Training Event – March 2017

4 IIA ORANGE COUNTY CHAPTER September 2016

The Institute of Internal Auditors - Orange County, would like to recognize and thank the following sponsors for their support and contribution to the Chapter:

5 IIA ORANGE COUNTY CHAPTER September 2016

September 2016 Lunch Meeting

Training Topic: The PCAOB’s Intensified Focus on Internal Controls over Financial Reporting 2 CPE Credits

Date: Tuesday, September 20, 2016 Location: Equinox Sports Club Time: 11:30 am – 1:10 pm 1980 Main Street, Irvine CA, 92614 Registration Begins at 11:00 am Complimentary Parking Lunch to be provided; Questions relating to specific dietary restrictions can be directed to registeriiaoc@gmail.com.

Speaker: Bob Conway| Professional Practice Director| CNM LLP

Bob Conway is the Professional Practice Director at CNM LLP, a regional CPA firm specializing in consultations on complex accounting matters, Sarbanes-Oxley compliance services, and internal audit outsourcing. Bob is a retired KPMG audit partner and was formerly the PCAOB Regional Associate Director with leadership responsibilities for the PCAOB’s Orange County and Los Angeles offices. Registration Fee Members $30 Non-Member $40 Student/Retiree $20 Register today at http://www.etouches.com/199031

6 IIA ORANGE COUNTY CHAPTER September 2016

2016 Fall CAE Breakfast

November 4, 2016· DoubleTree Hotel Irvine · 90 Pacifica · 1.5 CPEs 7am Breakfast · 7:30-9am Roundtable with Bob Hirth Click HERE to register today and take advantage of this FREE event for CAE’s. Space is limited.

2016 Fall Conference

November 4, 2016 · DoubleTree Hotel Irvine · 90 Pacifica · 8 CPEs 8:15am Breakfast · 9am to 5pm Program Event · Lunch Included!

Featuring Keynote Speaker: Bob Hirth, Chairman of COSO

Program Includes:

• Coast Community College District Trustee, Mary Hornbuckle and “Audit

Committees: Perspectives from an Elected Official” and Sr. IT Director “Keeping Up with Phishing”

• Raytheon will also present on the Affordable Care Act
• Lunchtime Panel Discussion: Mentorship: Auditors of the Future
• More to Come!!!

Early Bird Pricing Regular Pricing $150 single day for IIA Member $170 single day NON MEMBER $165 single day for IIA Member $195 single day NON MEMBER

Click HERE to register today and take advantage of EARLY BIRD PRICING which is available until September 30th!

Chairman of the Committee of Sponsoring Organizations of the Treadway Commission (COSO)

7 IIA ORANGE COUNTY CHAPTER September 2016

Take Flight

Institute of Internal Auditors West Region #3 District Conference

Join the six Chapters in our District (Sacramento, San Jose, San Francisco, Northern California East Bay, Northern Nevada, and Hawaii), colleagues, accounting/business students, and our sponsors for this event! Event Dates: September 18 – 20, 2016 Location: Napa Valley Marriott Hotel & Spa 3425 Solano Avenue, Napa, CA 94558 Your registration fees include:  Admission to all three general and three concurrent sessions.  Optional Data Analytics Sunday afternoon session sponsored by Sunera (with lunch provided to all attendees)  Complimentary continental Monday and Tuesday breakfast, with Monday lunch (CIA Review course attendees will receive lunch on Tuesday).  Complimentary morning and afternoon refreshment breaks.  An evening social reception on Monday night sponsored by RGP.  A Fun Run/Walk One-Miler on Tuesday morning, sponsored by Moss Adams (complimentary t-shirt given to all participants)  Up to 16.5 Continuing Professional Education (CPE) at an affordable value! Pricing and Registration

Register Early and Save! = EARLY-BIRD DISCOUNT EXTENDED!!! Registration Type Early Savings till 8/19/2016 Regular Rate as of 8/20/2016

Local, State, Federal Government Auditors $245 $295 IIA Members $350 $400 Non-Members $400 $450 CIA Review Course* $215 $215 *Conference Registration is required to attend any CIA Review Course. CIA Review pricing is per part and includes the latest version

• f the IIA CIA Learning System.

**By Invitation Only from the six IIA Chapter Presidents – Chief Audit Executive Roundtable sponsored by Moss Adams, LLP., will be held on Sunday, September 18, 2016 from noon to 3pm. Lunch will be served. In addition, The IIA Audit Executive Center and the IIA ACGA will be present. Registration to this session is complementary to our audit executives. ** ***Onsite registration for this conference is an additional $100. *** Accommodations: Discount room rate starting at $269 per night plus tax is available for all registered attendees at the Napa Valley Marriott Hotel. Please visit https://aws.passkey.com/g/57809869 An optional winery tour and taste is being offered on Sunday, September 18, 2016 starting 3:30pm from the hotel lobby. Price per person is $29 (non-refundable), wine taste fee is additional. If interested, please visit http://www.etouches.com/181211 Registration is Open – visit http://www.etouches.com/172226

8 IIA ORANGE COUNTY CHAPTER September 2016

Institute of Internal Auditors West #3 District Conference 2016 = Schedule of Events

Sunday, September 18, 2016 11:00 am - 5:00 pm Registration/Information Desk Open

Continuing Professional

11:45 am Track 1 (X1) Luncheon Track X2 Luncheon

Education

12:45 - 1:00 pm IIA Audit Executive Center IIA Audit Executive Center

(CPE)

1:00 - 3:00 pm Track 1 (X1) (by invitation only) Track 2 (X2) 2.4 Chief Audit Executive Roundtable Data Analytics moderated by Moss Adams, LLP presented by Sunera 12:30 - 2:00 pm Tracks X3 and Y1 1.8 Certified Internal Auditor (CIA) Part 1 Review presented by Vicki McIntyre 2:00 - 2:20 pm Session Break 2:20 - 4:00 pm CIA Part 1 Review (continued) 2 3:30 - 6:00 pm Optional: Wine Tour Monday, September 19, 2016 7:00 - 5:00 pm Registration/Information Desk Open 7:00 - 8:00 am Breakfast in Exhibit Hall 8:00 - 9:45 am General Session 1 2.1 Risk Management in Plain English Norman Marks, CPA, CRMA, Author and Global Thought-Leader in the Audit Profession 9:45 - 10:15 am Networking Break in Exhibit Hall 10:15 - 11:30 am Track 1 (A1) Track 2 (A2) Track 3 (A3) 1.5 Vendor Risk Management Enterprise Risk Management CIA Part 2 Review Les Sussman & David Matthews, RGP Bart Kimmel, Crowe Horwath presented by Vicki McIntyre 11:30 - 12:45 pm Luncheon 12:45 - 2:00 pm Track 1 (B1) Track 2 (B2) Track 3 (B3) 1.5 Cybercrime & Hands on Hacking Career Management - Why NOW is the Most CIA Part 2 Review (continued) Steven Konecny, Eisner Amper Critical Time to Manage Your Career Effectively presented by Vicki McIntyre Todd Weinman, The Weinman Group 2:00 - 2:10 pm Networking Break in Exhibit Hall 2:10 - 3:25 pm Track 1 (C1) Track 2 (C2) Track 3 (C3) 1.5 Leadership & Negotiation Skills Audit Committee Reporting - Trends and Best Practices CIA Part 2 Review (continued) Edwin Byers, Deloitte Mike Gowell, Wolters Kluwer TeamMate presented by Vicki McIntyre 4:00 - 5:15 pm General Session 2 Where are we now, where are we going, and how will we get there? Doug Anderson, Managing Director, Institute of Internal Auditors for the Chief Audit Executive Solutions 5:30 - 7:00 pm Evening Social / Welcome Reception Tuesday, September 20, 2016 6:00 - 6:45 am The One-Miler Fun Run/Walk 7:00 - 5:00 pm Registration/Information Desk Open 7:00 - 8:00 am Breakfast in Exhibit Hall 8:00 - 9:15 am Track 1 (D1) Track 2 (D2) Track 3 (D3) 1.25 Governance, Risk, Controls (GRC) Cybersecurity: What exactly is it, and what do you CIA Part 3 Review Andrew Wheatley, ServiceNow need to do to ensure you’re not at risk? presented by Vicki McIntyre Steve Shofner, Armanino LLP 9:15 - 9:45 am Networking Break in Exhibit Hall 9:50 - 11:30 am General Session 3 2 Panel: Women In Audit Leadership Chris Polke - Moderator, Director, Institute of Internal Auditors for the Audit Executive Center Elaine Howle - California State Auditor Brenda Roberts - City of Oakland, California Laurie Hanover - Twitter Julia Sniegowski - Centene Corporation Paige Venable - KPMG 11:45 - 12:30pm Track E3/F3 (CIA attendees) Luncheon 12:30 - 2pm Track 3 (E3) 1.8 CIA Part 3 Review (continued) presented by Vicki McIntyre 2 - 2:20pm Session Break 2:20 - 4pm Track 3 (F3) 2 CIA Part 3 Review (continued) presented by Vicki McIntyre Total CPE (without CIA Track) 12.25 Total CPE (with CIA Track) 19.85

9 IIA ORANGE COUNTY CHAPTER September 2016

INTRODUCING…. OUR KEYNOTE SPEAKERS…. Monday, September 19, 2016 General Session 1: Risk Management in Plain English Norman Marks, CPA, CRMA is an evangelist for “better run business”, focusing on risk management, internal audit, corporate governance, enterprise performance, and the value of information. He is also a mentor to individuals and organizations around the world. Norman was the chief audit executive of major global corporations for twenty years and is a globally-recognized thought leader in the professions of internal auditing and risk management. In addition, he has served as chief risk officer, compliance officer, and ethics officer, and managed what would now be called the IT governance function (information security, contingency planning, methodologies, standards, etc.). He ran the Sarbanes-Oxley Section 404 (SOX) programs and investigation units at several companies. He is the author of four books: World-Class Risk Management; the Institute of Internal Auditors’ “Management’s Guide to Sarbanes-Oxley Section 404: Maximize Value Within Your Organization”), which has been described as “the best Sarbanes-Oxley 404 guide out there for management”; World-Class Internal Audit: Tales from my Journey; and “How Good is your GRC? Twelve Questions to Guide Executives, Boards, and Practitioners”. Norman is a member of the review boards of several audit and risk management publications (including the magazines of ISACA and the IIA), a frequent speaker internationally, the author of multiple award-winning articles (receiving the IIA’s Thurston award in 2004 and 2014), and a prolific blogger about better run business (consistently rating as one of the top global influencers in social media on the topics of GRC, internal audit, risk management, and governance). Norman was profiled in publications of the AICPA and the IIA as an innovative and successful internal auditing leader. He has also been honored as a Fellow of the Open Compliance and Ethics Group for his GRC thought leadership, and as an Honorary Fellow of the Institute of Risk Management for his contributions to risk management. Norman can be found at:  Marks on Governance  Norman Marks on Governance, Risk Management, and Internal Audit  http://twitter.com/normanmarks Monday, September 19, 2016 General Session 2: Where are we now, where are we going, and how will we get there? Speaker: Doug Anderson, Managing Director of the IIA Chief Audit Executive Solutions Topic Summary: Even after 75 years of being an organized profession, internal audit needs to be continually reinvented to prove our continued value to our stakeholders. After exploring the current view of the profession from the eyes of our stakeholders, we will consider what direction we need to pursue as internal auditor and the key attributes necessary to be successful. Doug is the Managing Director - CAE Solutions of the IIA, Inc. He spent 22 years at The Dow Chemical Company primarily in internal audit (9 years as CAE), but also as a Global Finance Director in Corporate Controllers supporting acquisitions, divestitures and joint ventures, and the Finance Leader for the global Dow Latex business. Subsequent to Dow, Doug was an Executive in Residence and Assistant Professor

• f Accounting and Finance at Saginaw Valley State University in Michigan from 2013 to 2015. He spent 10 years

with PriceWaterhouseCoopers early in his career. Over his career Doug has held many volunteer positions at the IIA and participated in a number of professional activities including COSO and the PCAOB.

10 IIA ORANGE COUNTY CHAPTER September 2016

Tuesday, September 20, 2016 General Session 3: Panel: Women in Audit Leadership Topic Summary: Smart leaders have understood for a while now that diversity delivers better and more sustainable

• performance. Companies with balanced leadership teams out-perform those with less. Building a strong and

balanced organization takes skill, determination, and courage. That’s what the best organizations do. They put the focus on accountability on the front lines where the change occurs while the responsibility ultimately falls to

• leaders. Join in the discussion about leadership with a distinguished panel of women leaders in the fields of audit

and business. Our panelists will share their views on leadership, what makes them successful, and the challenges in being a woman leader. At the completion of this presentation, participants will develop an understanding of what challenges leaders face in today’s workplace, and what are some traits and qualities today’s leaders need to be successful. Moderator: Christopher Polke, Director of the IIA AEC Christopher Polke is currently the director of The Institute of Internal Auditors (IIA) Audit Executive Center (AEC). Chris oversees the day-to-day operations and strategic direction of the AEC, which provides Fortune 500 companies’ chief audit executives and their internal audit function tools and resources for their unique organizational services. Chris oversees all relations, communications, content development, product and services, training and networking for CAEs of the AEC. Chris graduated from the University of Central Florida and Troy University, where he earned the degrees Bachelor

• f Science in Business Administration majoring in Accounting and Master in Public Administration respectively.

Chris joined The IIA in 2011. Prior to joining The IIA, Chris was a senior auditor and budget analyst for the City of Orlando for 10 years where he was responsible for risk management, performance audits, compliance and assurance audits, revenue audits, and financial management and control. A skilled facilitator, he also develops and delivers IIA Members-only Webinars on a variety of internal audit topics. Outside of work, Chris serves on many community and youth organizations boards in the metropolitan Orlando area and beyond. …and the five Panel Speakers are… Elaine M. Howle, California State Auditor, CPA, CGFM

• Ms. Howle is actively involved in various national organizations devoted to government auditing

and accounting, and currently serves on the Federal Government Accountability Office, Domestic Accountability Working Group. Further, in 2014, the Institute of Internal Auditors’ new American Center for Government Auditing honored Ms. Howle as among 2014’s 15 Most Influential Professionals in Government Audit and in November 2012, Governing Magazine named Ms. Howle Public Official of the Year. Moreover, in June 2012, Ms. Howle received the “David M. Walker Excellence in Government Performance and Accountability Award”–a national award given once every two years to recognize and honor government audit professionals who have made continuous contributions to improve government performance and accountability through their leadership in transforming government organizations. Ms. Howle has dedicated her entire career to public service with more than 33 years of auditing, management, and leadership. She is a certified public accountant and a certified government financial manager.

11 IIA ORANGE COUNTY CHAPTER September 2016

Brenda D. Roberts, City of Oakland California, CPA, CFE, CIA On January 5, 2015, Brenda Roberts was sworn into her first term as Oakland City Auditor. She has two decades of professional experience as a CPA, CIA, and CFE working with KPMG and Deloitte.

• Ms. Roberts has performed audits for agencies including Fortune 500 companies, U.S. Office of

Inspector General, U.S. Department of Labor, and City/County of San Francisco. Ms. Roberts has received many accolades for her professional excellence including: Knighton Award-Gold from the National Local Government Association, Exceptional Achievement Award from the U.S. Department of Labor and a Significant Achievement Award from Deloitte & Touche, LLP. She has also shown leadership in her field having served on the Board of Governors for the Institute of Internal Auditors Northern CA-East Bay Chapter for almost a decade, including as President and currently as a member of its International Committee. She has over 20 years of experience working in internal audit departments in government and non-government organizations. As a CPA and auditor, she brings the knowledge and values necessary to have more transparency and accountability in Oakland. Laurie Hanover, Twitter, CIA Laurie A. Hanover is the Head of Internal Audit and SOX Compliance at Twitter (NYSE: TWTR) in San

• Francisco. She leads a global team focused on Internal Audit, SOX compliance, Enterprise Risk

Management, and ISO 27001 and PCI compliance testing. Laurie started the Twitter Internal Audit team in 2014 and led a successful year 1 SOX compliance program with no material weaknesses. Laurie joined Twitter from ServiceSource International (NASDAQ: SREV), where she was their Vice President of Internal Audit. Prior to that, she was the founding global Head of Internal Audit and SOX compliance at Zynga (NASDAQ: ZNGA). Laurie has also led global Internal Audit and SOX teams at Openwave Systems, Levi Strauss, Electronic Arts, and Cisco Systems after leaving PwC as a senior manager in the San Francisco office. Laurie is a Certified Internal Auditor and has served on the Board of Governors of the San Francisco Chapter of the Institute of Internal Auditors. She began her career as a software engineer and is a graduate of Cornell University. Julie Sniegowski, Centene Corporation, CPA Vice President, Internal Audit Julie Sniegowski leads the Internal Audit function for Centene Corporation. Julie started her career at KPMG, LLP in the assurance group. Julie began working in Centene's Internal Audit department in 2005 and has spent over 10 years in Internal Audit. Paige Venable, KPMG, CCSA, CRMA Paige Venable is a Managing Director in KPMG’s Risk Consulting Practice in San Francisco. Her primary focus is Enterprise Risk Management (ERM), Governance, Risk and Compliance (GRC), Internal Audit; and Sarbanes-Oxley (SOX) Compliance services. Paige has over 15 years of experience providing Advisory and Audit services to domestic and global clients.

Take Flight

Institute of Internal Auditors West Region #3 District Conference

Registration is Open – visit http://www.etouches.com/172226

12 IIA ORANGE COUNTY CHAPTER September 2016

SAVE the DATE! 2017 IIA Western Regional Conference June 7–9, 2017

Interested in speaking at the conference? CLICK HERE! Continue to visit www.wrd4ec.org for updates

13 IIA ORANGE COUNTY CHAPTER September 2016

International Conference 2017 Coming to Sydney!

"L.I.V.E. the Global Experience"

IIA-Australia is pleased to announce that the International Conference 2017 will be held in Sydney. The International Conference 2017 will be taking place at the International Convention Centre Sydney from Sunday, 23 July to Wednesday, 26 July 2017. The theme for the International Conference 2017 is L.I.V.E. (Leadership. Innovation. Value. Effectiveness). Registration will be available starting in October 2016.

Registration Rate Early Bird Rate Standard Rate Registration Type Before April 1, 2017 After April 1, 2017 Member $2395.00 AUD $2595.00 AUD Non-Member $2695.00 AUD $2895.00 AUD

Register Online

14 IIA ORANGE COUNTY CHAPTER September 2016

New Members

Jaanvi Parkhani Veronica Kim Jammie McKey-Prager

Transfers

Jerome Ferido Barbara Martin

New Certifications

Ramon Machado, CIA – July 2016

Upcoming IIA Conferences

Conference Date Location

Financial Services Exchange

• Sept. 26–27, 2016

Renaissance Downtown Washington / Washington, DC

Environmental, Health & Safety Exchange (Formerly known as The Auditing Roundtable)

• Sept. 28–29, 2016

Renaissance Washington, DC Downtown Hotel / Washington, DC

All Star Conference

• Oct. 17–19, 2016

The Mirage / Las Vegas, NV

General Audit Management Conference

March 20–22, 2017 Gaylord Palms/Orlando, FL

Gaming & Hospitality Conference

April 19–20, 2017 The Mirage / Las Vegas, NV

International Conference

July 23–26, 2017 Sydney, Australia

15 IIA ORANGE COUNTY CHAPTER September 2016 Prepare to pass the CIA exam with the experts! The IIA’s CIA Learning System was created by a team of CIA-certified industry experts to be the most relevant, comprehensive, and effective CIA review program available. The IIA’s CIA Learning System is a comprehensive training course designed to provide chapters, members, and the audit community of professionals with information and tools to master the global CIA exam syllabus. This premier quality program is aligned with the International Professional Practices Framework (IPPF) to ensure you stay current with the global internal auditing profession and are ready for the CIA exam. It combines printed text with online testing tools and

• nline questions.

Prepare to pass the CIA exam and arm yourself with critical tools and knowledge to excel in your internal audit career. Get started today! Visit: www.learncia.com/chapters for more information

IIA members receive additional discounts on their Learning System purchases!

16 IIA ORANGE COUNTY CHAPTER September 2016

Job Opening – Senior Internal Auditor

Senior Internal Auditor – Riverside County

Job ID#4437

Salary $55,413.00 to $87,378.00 General Summary Under direction, to plan, organize, conduct and direct complex operational, financial, and contract and grant compliance audits, along with control self-assessments within the Department of Public Social Services (DPSS); to act in a lead capacity over other audit, accounting and clerical staff; to prepare audit reports with recommendations based on findings; and to do other related work as required. This is a lead class and is characterized by responsibility for providing technical supervision and training to professional accounting personnel in a specialized auditing unit; planning and coordinating the more complex audits including recommending audit priorities and schedules; performing complete professional auditing functions with minimum supervision; examining, verifying, and evaluating various departmental accounting records, operations, procedures, systems, and compliance with established requirements; and reporting on management efficiency and effectiveness in using resources to carry out the organization's mission and program. The class of DPSS Senior Internal Auditor is distinguished from the class of Senior Accountant by the former's responsibility to almost exclusively perform auditing functions. In addition, Accountant I and Accountant II positions that are primarily performing audit functions are natural progression under fills for the class of DPSS Senior Internal Auditor. Incumbents in these positions may promote to DPSS Senior Internal Auditor after meeting the minimum qualifications of the higher-level class and obtaining a satisfactory performance evaluation. Essential Duties:  Conducts financial, operational, and contract/grant compliance audits of functions, operations, and programs within DPSS.  Plans audit procedures and prepares audit programs, determines scope of and approach to audits in consultation with management, performs detailed testing and analysis, and assigns segments of audits to assistant auditors.  Leads in the examination of records to determine accuracy; documents findings and recommendations; prepares audit reports and special reports to management.  Documents and evaluates processes for proper internal controls, efficiency, and effectiveness.  Conducts entrance and exit conferences with responsible officials to discuss findings and other details of the audit.  Researches professional standards and develops recommendations, as necessary.  Trains lower level positions; reviews work papers and audit reports for quality of work and compliance with standards, and provides input to employee performance evaluations.  Assists in resolving DPSS audit findings identified by external auditors; may participate in management and professional training to enhance planning and management skills as applied to complex auditing work. Recruiting Guidelines:  Education: Graduation from an accredited college or university with a Bachelor's degree preferably in accounting or public/business administration or possession of a valid certificate as a Certified Internal Auditor or Certified Public Accountant.  Experience: Two years of professional auditing experience, which demonstrates possession of the knowledge and abilities listed. Please contact Cameron Hacker (Human Resources Technician II) for details @chacker@rc-hr.com. All applicants need to apply on the County of Riverside’s website at: http://www.rc-hr.com/Careers/HowtoApply.aspx

17 IIA ORANGE COUNTY CHAPTER September 2016

Job Opening – Senior Analyst, Internal Audit

Senior Analyst, Internal Audit – Irvine, CA

General Summary Responsible for planning and conducting audit programs for moderate-level projects and audits for a range of functions throughout the organization, including operations, credit, funding, compliance and/or finance. Develop and execute effective internal audit programs designed to identify and evaluate risk and test internal controls within the Company. Duties & Responsibilities  Plans and conducts moderate-level audits and/or projects, to assist the team in completing the audit plan, within established timeframes. With management oversight, responsible for conducting interviews and walk-throughs, performing analysis to identify key business risks and controls, determining audit scope, designing testing strategies, testing, evaluating, and documenting internal controls, identifying control gaps and identifying and reporting audit issues based on significance, risk and impact. Collaborate with business partners to develop appropriate management corrective action plans. Conduct follow up on remediation of control gaps. Coordinate or actively participate in audit related meetings.  Assists in the accomplishment of Audit Department initiatives, goals, and audit plan.  Contributes to the development and use of an audit analytical system (e.g. ACL) in support of enhancing audit testing strategies and/or monitoring activities.  Assists in special projects or performs other duties as assigned. Knowledge & Skills  Complete/full knowledge of Institute of Internal Auditor standards.  Complete/full knowledge of COSO framework and SOX guidance.  Demonstrated experience in conducting operational, financial and/or compliance audits.  Ability to be flexible and a team player, apply judgment, and exhibit initiative and leadership.  Solid analytical and communication skills (verbal and written).  Ability to effectively present information: one on one, small groups, and management.  Knowledge of audit tools (e.g. ACL, CCH, TeamMate, etc.) is a plus. Education and Experience  Bachelor Degree in Finance or related field or an equivalent combination of education, training, and experience.  Minimum of 4 years of professional audit experience with direct, related experience conducting audit activities.  CIA, CPA, or CISA strongly preferred, but not required. Qualified and interested individuals should send resumes to Denise Chandler at DChandler@hcamerica.com.

18 IIA ORANGE COUNTY CHAPTER September 2016

Job Opening –Internal Auditor

Internal Auditor

Summary The Internal Auditor will participate in executing financial, compliance, and operational audits, by examining and evaluating company internal controls and processes, by consulting or partnering with organization leaders, and by applying knowledge of regulatory requirements (e.g. Sarbanes-Oxley). This Internal Audit role will evaluate internal control design and effectiveness, and will work with External Auditors on their evaluation of internal controls. The Internal Auditor is expected to apply Internal Audit methodology consistently to all audits, contribute ideas in an effort to improve the methodology, and apply computer audit assisted techniques is executing the audits. This position will present audit findings and recommendations to management and assess corrective actions taken to address audit recommendations. Education & Experience Requirements  Bachelor or Master’s Degree from an accredited college or university in Accounting, Finance, or related field  CPA, CIA, or CISA certification (or pursuing certification) is preferred  At least 2 years’ experience in Public Accounting and/or Internal Audit experience  Big 4 public accounting experience highly desired  Experience in the manufacturing industry a plus  Knowledge of and experience with internal auditing standards, generally accepted accounting principles, and Sarbanes Oxley (section 404 and related testing requirements) is required Competencies  Ability/desire to understand and document business processes and internal controls, including flow charting; to assess the design of these processes and controls; and to identify business risks and work with business management to identify resolutions to mitigate risks  Excellent communication skills (written and verbal); ability to interact effectively with all levels of management and with personnel at operating facilities  Sound reasoning, analytical, investigative, and problem-solving skills  Excellent organization skills; ability to work on multiple projects, work under pressure and time constraints  Ability to travel approximately 25% (domestically and Canada)  Intermediate to advanced skills in use of Excel, Word, and Power Point  Ability to utilize computer assisted auditing techniques and software to conduct data extraction and analysis  High ethical standards and values; ability to maintain confidentiality About Kaiser Aluminum Kaiser Aluminum (NASDAQ:KALU) is a leading producer of fabricated aluminum products for aerospace/high strength, general engineering, automotive and custom industrial applications. Our engineers, designers, metallurgists and sales personnel work with customers to find innovative solutions for our customers’ needs. Our expansive aluminum product offering includes plate, sheet, extrusions, rod, bar, tube, forge stock, and wire. Headquartered in Foothill Ranch, California 12 fabricating facilities in North America More than 2,000 employees Ship more than 500 million pounds of product annually More than $1.3 billion in revenue (2012) 49% interest in Anglesey Aluminum, UK Contact: Robin Tennant or Visit Link

19 IIA ORANGE COUNTY CHAPTER September 2016

Job Opening – Internal Auditor (PT Hourly POOL)

Internal Auditor (PT) - Coast Community College District

Job Description: Under the direction of the Internal Audit Director, provides varied and complex support for the department. Examples include performing risk assessments and developing the District's Audit Universe, evaluating and testing internal controls, developing and reviewing department procedure manuals and marketing materials, performing audits, investigations, consulting engagements, and other related activities.  Interacting with and maintaining strong, positive relationships with District staff and management, including Internal Audit team members and student workers  Documenting and writing work papers, conducting qualitative and quantitative analysis, performing tests of transactions, assessing and communicating results of work  Drafting emails, writing memos and other reports  Performing task level work such as compliance, performance, financial audits and/or consulting engagements, including information technology and possible fraud, waste, and abuse.  Conducting background and/or benchmarking research related to areas under review  Traveling to other locations within the District to obtain information and conduct work, for which mileage reimbursement is provided.  Other related duties as assigned. Job Requirements: Knowledge of:  GAS and/or IPPF auditing standards and principles of audit  Elements of a work paper and finding  Research and writing techniques  Red flags for fraud, waste, and abuse  Thorough knowledge of MS Office products including Word, Excel, and PowerPoint. Ability to:  Complete audits and consulting engagements from start to finish with limited direction. Utilize effective critical thinking and communication skill sets and maintain confidentiality.  Use Microsoft Office including Word, Excel, PowerPoint, and Outlook at an intermediate to advance level.  Manage multiple projects, set priorities, adjust to changing priorities, and organize work.  Maintain cooperative relationships with employees at all levels of the organization, including the Board of Trustees.  Document work in accordance with auditing standards.  Current driver's license and ability to show car insurance. Education and Experience:  Bachelor's Degree in Accounting, Finance, Business, Public Administration or related field and four (4) years of audit experience.  Minimum two (2) years of the four (4) years of experience managing projects in a team lead/project manager role.  Or, any combination of education and experience that would provide the required equivalent qualifications. How to Apply If you are interested and meet the job requirements above, please visit: https://www.governmentjobs.com/careers/cccd/jobs/1273967/internal-auditor-pt-hourly-pool

20 IIA ORANGE COUNTY CHAPTER September 2016

Job Opening – Director of Auditing

Director of Auditing

Salary Up to $207,419 (Salary will be based upon qualifications) The Controller’s Office of the City of Los Angeles seeks a highly motivated, well-qualified, experienced, collaborative audit executive to manage the Controller’s Audit Division. This position provides a unique opportunity to head the audit function of the nation’s 2nd largest municipal organization. Through strategic leadership of our highly talented group of internal auditors, this position recommends visionary ways to improve the efficiency and effectiveness of City operations while also serving the public. DIRECTOR OF AUDITING This executive-level position manages, plans, organizes, and coordinates the work of professional staff engaged in conducting financial, performance, investigatory and systems audits and special studies of considerable scope, complexity and sensitivity. Audits and studies conducted by the Office of the City Controller are performed in accordance with Generally Accepted Government Auditing Standards and provide transparency to government

• perations that improve efficiency and effectiveness through focused accountability. These independent audits are

publicly posted and addressed to elected officials and responsible managers, and include practical recommendations that address the root causes of identified weaknesses. This executive position also manages the division budget and the work of outside contractors tasked with conducting or assisting on audits and studies commissioned by the Controller’s Office. EDUCATION AND EXPERIENCE: Education: Bachelor’s degree in accounting, finance, public policy or a related field; while an advanced degree and professional designation (CPA, CIA) is highly desirable. Must have at least three years of full-time experience as a manager supervising professional audit staff in conducting performance, financial/compliance, and information systems audits in accordance with Generally Accepted Government Auditing Standards. Ideal candidate must demonstrate competency in the following areas:

• Management and Supervision: Ability to motivate, mentor and guide subordinate staff to maximize the

impact and efficiency of their audit work;

• Communication: Ability to explain complex issues with ease, and communicate well in all mediums, with

excellent writing skills;

• Technical ability and Problem Solving: Analytical thinker who is proficient in various auditing techniques

and a problem solver who can approach challenges in creative ways;

• Organization and Project Management: Superior organization abilities to manage multiple projects and

deadlines in a fast-paced, dynamic work environment;

• Generally Accepted Government Auditing Standards: Proven track record in conducting audits in

accordance with professional standards, especially regarding complex programs and government

• perations and policy;
• Independence and Objectivity: Demonstrated experience in adhering to the highest standards of personal

and professional independence necessary to ensure objective assessment of City operations;

21 IIA ORANGE COUNTY CHAPTER September 2016 The following characteristics are required to be successful on the executive team:

• Have the skills necessary to define a direction, facilitate change, inspire teamwork, and adapt to rapidly

changing environments and issues for the division;

• Passion for the public good and public interest;
• Ability to articulate audit findings, and explain policy positions to executive and elected officials
• Meticulous attention to detail from start to finish;
• Commitment to preserving independence and objectivity in both form and perception;
• Ability to handle sensitive issues, bridge differences (political and otherwise) and build consensus around

these issues

• Ability to identify organizational efficiencies and develop strategies and/or formulate an audit plan and

develop strategies to implement them

• Flexible demeanor and ability to seek out new ideas, approaches and solutions;
• Collaborative attitude and responsiveness to feedback;

OFFICE OF LOS ANGELES CITY CONTROLLER The Controller serves as the independent chief auditor and financial watchdog for the City of Los Angeles with the responsibility to ensure the City is operating efficiently and transparently. The Controller’s Office also produces payroll for more than 45,000 employees, monitors and reports on matters relating to the City’s fiscal health and supervises all expenditures of the City. ABOUT THE AUDITING DIVISION The Audit Division of the Controller’s Office conducts scheduled audits, special audits, and audits on request from City Council and management. The audits determine if existing controls are adequate, departments are operating efficiently and effectively, and ensure that revenues and expenditures are properly recorded in conformance with applicable laws and regulations. Auditors recommend improvements that promote efficiency and effectiveness of City operations and save taxpayer dollars. The following are the types of audits conducted by the Audit Division: Financial and Compliance Audits - Financial-related audits determine whether (1) financial information is presented in accordance with established or stated criteria, and (2) the internal control structure over financial reporting and/or safeguarding of assets is suitably designed and implemented to achieve control objectives. Also includes routine payroll observations and reviews of departmental bank accounts. Performance Audits - Performance and operational audits of City departments and programs are mandated by the City Charter to assess whether government programs or functions are efficiently and effectively achieving their goals. Special Analysis and Reviews - Includes other reviews and analyze, such as tracking the implementation status

• f audit recommendations as asserted by Management, Follow-Up audits to independently ensure implementation

status, and other special assignments as directed. On an as-needed basis, the Division also performs information systems audits such as general control reviews, application reviews, and post-implementation systems reviews to ensure system functionality and data integrity. In addition, the division performs vendor reviews for selected contracts. APPLICATION PROCESS AND DEADLINE: Applicants interested in applying should submit their resume and cover letter to JoVonne Lavender, Personnel Director at jovonne.lavender@lacity.org. This position will initially be filled as an emergency appointment. Qualified applicants will be contacted for an interview and provided more information regarding the emergency appointment process. This position is an exempt, at-will position which does not accrue civil service tenure, contractual employment rights or due process rights. The position is appointed and serves at the pleasure of the City Controller and may be removed without any finding of cause by the City Controller.

22 IIA ORANGE COUNTY CHAPTER September 2016

Placing a Job Ad - Message from Employment Committee Chair

We are currently forwarding job openings in a blind carbon copy (BCC) email to members, who have requested that service. This service is offered to members at no charge. There are employers and recruiters who e-mail us openings but choose not to advertise in our newsletters. Please email Rachel Snell if your firm has any openings that can be passed along to our members seeking opportunities. If you feel it would be appropriate for us to contact your HR department and establish a relationship, please let us know. Also, any company desiring to advertise job openings in the monthly newsletter and on the website may do so for free. Please see the following section for details and encourage your firm or company to advise us of openings even if they choose not to advertise. Thank you. JOB POSTING FEES – Free FILE FORMAT - The file should be no more than one 8 1/2" x 11" sheet (one page, letter size) in Microsoft Word format. Please email the file to: OC IIA Newsletter Editor: Joelle Nguyen OC IIA Webmaster: Quyen Ngo

Call for Speakers - Message from Programs Committee Chair

We are constantly looking for quality speakers for our lunches and training events. If you are interested, please contact Meghankennedy.iia@gmail.com Thank you.

FY 2016-2017 Officers, Governors and Operating Committees

President Jonathan Jayasinghe Jonathan.jayasinghe.iia@gmail.com 1st Vice-President Rachel Snell Rsnell1@mail.cccd.edu 2nd Vice-President David Pepper Davidociia@gmail.com Vice-President – Programs Meghan Kennedy Meghankennedy.iia@gmail.com Treasurer Jenny Nguyen Jnguyen@sarecycling.com Secretary Yuliya Poutkaradze Yuliya.poutkaradze@ey.com Past Presidents Roy Currington Roycurrington@gmail.com Governors Carlos Amaya Carlamaya@deloitte.com Francisco Barragan Barraganfj@gmail.com Tiffany Bui Tbui5@hotmail.com Andrew Tinseth Atinseth@hotmail.com Ofelia Tamayo iia.otamayo@gmail.com Barnaby Wang Bwang@century-group.com Chip Clark Chipclark@earthlink.net Reety Sandhu rsandhu@hcamerica.com Programs Committee Chair Meghan Kennedy Meghankennedy.iia@gmail.com Registration Committee Chair Meghan Kennedy Meghankennedy.iia@gmail.com Chapter Achievement Program Chair capchairoc.iia@gmail.com Nominating Committee Chair Tiffany Bui Tbui5@hotmail.com By-Laws Committee Chair David Pepper Davidociia@gmail.com Employment Committee Chair Rachel Snell Rsnell1@mail.cccd.edu Membership Committee Chair Jonathan Jayasinghe Jonathan.jayasinghe.iia@gmail.com Treasury Advisory Committee Chair Tiffany Bui Tbui5@hotmail.com Auditor TBD Academic Relations Co-Chair Reety Sandhu rsandhu@hcamerica.com Academic Relations Co-Chair Andrew Tinseth atinseth@hotmail.com CAE Roundtable Chair David Pepper Davidociia@gmail.com Advocacy Committee Chair Paco Barragan barraganfj@gmail.com Corporate Sponsorship Chair Jonathan Jayasinghe Jonathan.jayasinghe.iia@gmail.com Communications Chair Tiffany Bui Tbui5@hotmail.com Webmaster Quyen Ngo know.quyen@gmail.com Newsletter Editor Joelle Nguyen joellenguyen.iia@gmail.com