The Institute of Internal Auditors - Orange County, would like to - - PDF document

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President’s Message

Dear Orange County Chapter Members, Welcome to the New Year, Auditors!! Here we are in January, and we continue with yet another successful luncheon. In December, we welcomed Lester Sussman and David Matthews, Senior Practice Directors at RGP who presented on Robotic Process Automation. Our Programs volunteers, Nicole and Steven Vengrow, will continue to recruit high quality speakers for our lunch events. If you have any training suggestions, are interested in speaking, or would like to assist

• ur volunteers with marketing and registration,

please reach

• ut

to Steven Vengrow steve@SRGSearch.com

• r

Nicole Ungaro nungaro2001@yahoo.com. Also coming up is the March 15-16 2018 joint conference event. This event is hosted by the Orange County chapters of the IIA, the ACFE, and ISACA. Currently, we would like to thank Concordia University, Ernst and Young, and Clifton Larson Allen for sponsoring this event. There will also be a CAE Roundtable to kick off the conference. Please save the date and plan to

• attend. If you are interested in sponsoring the event or volunteering for the

planning committee, contact Yuliya Poutkaradze at yuliya.poutkaradze@ey.com. In addition, please save the date for our Southern California Educational

• Conference. On June 24th there is pre-conference opportunity to learn about

Data Analytics from KPMG, and on June 25th there is a full day of educational

• pportunity. Attendees can choose between four different tracks! Be on the

lookout for additional details. We are approaching the time where we nominate new officers to the IIA Orange County chapter Board. I would like to thank our Nominations Committee for working diligently to recruit volunteers to help our chapter. If you are interested in volunteering for our chapter, or would like more information about how to get involved, please reach out to our Nominations Committee: Jason James jason.james@regentsandpark.com; Chip Clark chipclark@earthlink.net; and David Pepper davidociia@gmail.com. Also, we know that our members are doing things throughout the county, State, and Country. We are also looking for volunteers to continuing helping your local chapter provide access to great, low cost training opportunities. If you have given back to the profession, or would like to volunteer for the chapter, shoot me an email so we can recognize you in our Newsletter! Rsnell1@mail.cccd.edu We also would like to continue our thanks to Kia Motors America and Ernst and Young for sponsoring the chapter at the GOLD level, and Focal Point Data Risk for sponsoring the chapter at the SILVER level. We are proud to have these sponsors as continued partners in our success. If you are interested in becoming a sponsor, our Chapter has several opportunities. Please contact me at rsnell1@mail.cccd.edu if you would like to sponsor your local IIA chapter. Best regards, Rachel Snell President IIA Orange County Chapter

Table of Contents

President’s Message 1 Sponsors Recognition 2 Sponsorship Program 3-4 IIA OC Luncheon 5 IIA & ISACA CAE Event 6-7 2018 Spring Conference 8-9 2018 Int’l (Dubai) Conference 10 IIA Southern CA Conference 11 2019 International Conference 11 New IIA Members/Cert 12 Upcoming IIA Conferences 12 IIA CIA Learning 13 Gleim CIA Review Ad 13 Employment Ads 14-22 Placing a Job Ad 23 Call for Speakers 23 Officers & Committees 24

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2 IIA ORANGE COUNTY CHAPTER January 2018

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

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3 IIA ORANGE COUNTY CHAPTER January 2018

Dear valued member, We trust that your 2017 year is going better than you could have ever imagined! Here at the Institute

• f 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 and 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

• ne-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, Rachel Snell 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.

Sponsorship Proposal

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4 IIA ORANGE COUNTY CHAPTER January 2018

2017-18 Event Calendar

Lunch Meetings – Held on the 3rd Tuesday of each month at the Equinox, Irvine 2-Day Training Event – March 15-16, 2018

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

• ffer. Our first event is in August 2017!

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.

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5 IIA ORANGE COUNTY CHAPTER January 2018

February 2018 Lunch Meeting

Training Topic: Fundamentals of Data Management of Auditors CPE Credit(s): 2

Date: Tuesday, February 20, 2018 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 about the event can be directed to registeriiaoc@gmail.com. In many organizations, data is growing in both volume and diversity and becoming a more important asset, often to be exploited to business advantage. This data comes from internal

• perations as well as from business affiliates, government sources, and professional data
• brokers. Given its importance on a tactical and strategic level, the data asset should be managed

as an asset with professional rigor. Michael Scofield will cover data management fundamental including the overall enterprise data management effort (data asset inventory, data quality assessment, metadata management, logical data modeling, database design, data warehousing, and data exploitation), why this data is a critical BUSINESS asset (not just a part of technology) and how auditors can ensure this data managed effectively. Speaker: Michael Scofield | Loma Linda University Michael Scofield is an Assistant Professor at Loma Linda University, and is a popular speaker in topics of data quality, decision-support, and data visualization to professional audiences all over the United

• States. He occasionally consults in data quality and data analysis. In

addition to his lectures before a variety of professional organizations-- including DAMA chapters (26), TDWI chapters (6), American Society for Quality chapters (11), Institute

• f

Internal Auditor chapters, Association of Government Accountants, database user groups, and other I.T. and business professional groups--he is also a frequent guest lecturer at a number of universities (including the University of Arkansas, Purdue, Azusa Pacific University, and

• thers). He also has humor published in the Los Angeles Times and
• ther journals.

Visit http://www.eiseverywhere.com/310994 to register today!

Registration Fee: Member $30.00 | Non-Member $40.00 | Student $20.00

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6 IIA ORANGE COUNTY CHAPTER January 2018

Chief Audit Executive and IT Audit Director’s Forum

Tuesday, February 13, 2018 at 3:00 pm. VIP Invitation Only. Contact Debbie Lew (Debbie_Lew@outlook.com) or your IIA/ISACA Chapter President for more information.

The Future of Internal Audit

Tuesday, February 13, 2018 at 5:30 pm w/ Southern California Chapters of ISACA and IIA Details: http://bit.ly/2n2iOQX RSVP: http://bit.ly/auditfuture

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7 IIA ORANGE COUNTY CHAPTER January 2018

• J. Michael “Mike” Peppers is Chief Audit Executive (CAE) for The University of Texas System, one
• f the largest public university systems in the United States. In his role, he oversees the internal

audit function for a university system that has an annual operating budget of $17.9 billion and serves more than 228,000 students at eight universities and six health science centers. Over a 30-year career that began in public accounting, Peppers has led progressive internal audit activities at major not-for-profit organizations in higher education and health care. Previously, he was Vice President and Chief Audit Officer at The University of Texas MD Anderson Cancer Center, Director of Audit Services at The University of Texas Medical Branch, Inspector General at the University of South Florida, and a Senior Auditor for Price Waterhouse. Reflecting a lifelong commitment to serving the internal auditing profession, Peppers has held numerous volunteer board and leadership positions. He is on The Institute of Internal Auditors (IIA) Executive Committee of the Global Board

• f Directors, currently serving as Chairman for 2017-18. Previously, he was Senior Vice Chairman of the Global Board for

2016-17. He also served on The IIA’s North American Board (2010-14, Chairman 2012-13), and International Internal Audit Standards Board (2006-10). He served as President of the Association of College and University Auditors (2001-02). He is a member of the University

• f Houston Accounting Advisory Board, was recipient of the Association of College and University Auditors Outstanding

Professional Contributions Award, and was recognized as a Distinguished Faculty Member in The IIA’s volunteer faculty program. Peppers is a Certified Internal Auditor (CIA) and a Certified Public Accountant (CPA) and has a Certification in Risk Management Assurance (CRMA) and Qualification in Internal Audit Leadership (QIAL). Peppers earned a bachelor's and a master's degree in accountancy at the University of South Florida. For his chairman’s year theme, Peppers chose #PurposeServiceImpact. The hashtag is a nod to social media’s ability to connect people on an issue. Peppers challenges internal auditors to unite around the profession’s core principles by keeping #PurposeServiceImpact center stage. “If we understand our purpose, how our purpose supports the lives of

• thers, and if we commit to providing informed, objective and ethical service, we will make a difference,” Peppers said.

“We will have an impact.” Chair Theresa Grafenstine, CISA, CGEIT, CRISC, CGAP, CGMA, CIA, CISSP, CPA, is an Advisory Managing Director, serving the internal auditing and federal practices for Deloitte & Touche LLP in Arlington, Virginia, USA. Before joining Deloitte, Grafenstine served as inspector general of the US House of Representatives, where she was responsible for planning and leading independent, non-partisan audits, advisories, and investigations of the financial and administrative functions of the House. Prior to joining the House Office of Inspector General (OIG), Grafenstine served at the Department of Defense (DoD) OIG, where she led acquisition audits of major weapon systems and was selected to respond to high-profile Congressional audit requests. She is the chairman of ISACA’s International Board of Directors and a past president of the ISACA Greater Washington DC Chapter. Grafenstine also serves on the board of directors of the American Institute of Certified Public Accountants (AICPA) and as the audit committee chair of the Pentagon Federal Credit Union. She has received numerous awards and accolades, including the Golden Gov Federal Executive of the Year, the Greater Washington DC Society of Government CPA Leader of the Year, and ISACAs John W. Lainhart IV Common Body of Knowledge Award and John Kuyers Best Speaker/Conference Contributor Award.

IIA 2017-2018 Global Chairman of the Board

… J. Michael Peppers, CIA, QIAL, CRMA, CPA

ISACA 2017-2018 Global Chairman of the Board

… Theresa Grafenstine, CISA, CGEIT, CRISC, CGAP, CGMA, CIA, CISSP, CPA

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8 IIA ORANGE COUNTY CHAPTER January 2018

~ IIA/ISACA/ACFE Joint Event ~

The Orange County Chapters of the IIA, ISACA and ACFE have joined together to provide you with 16 CPE of exceptional training.

March 15th / 16th – 8:00am to 5:00pm

Mile Square Golf Course - 10401 Warner Avenue, Fountain Valley, CA 92708 DAY 1 – March 15, 2018 Jim Stickley| Stickley on Security| Fraud the new F-word Gregory L. Taylor| Corporate Audit Partners | Vendor Red Flags David Nichols |NCC Group | Running a Bug Bounty program Marina Daniels | E&Y |7 Habits of Highly Effective IA Functions Jason Greenlee| Deloitte |Risk Based Auditing Kim Chatani I Khronicles I Data Breaches & Other Cyber Frauds: A 21st Century Risk to Your Organization Summer Taylor | Deloitte | Lease Accounting Deep Dive: Staying Ahead of the Risks Followed by hosted networking reception at 5:00 p.m.

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9 IIA ORANGE COUNTY CHAPTER January 2018

DAY 2 – March 16, 2018

Robert Campbell| Office of County Investigations | Why bad people do stupid things Ryan Marryman | Clifford Larson Allen LLP | Forensic Concepts and Primer on Data Analytics Cory Steinbicker and Raj Sawhney |Focal Point Data Risk, LLC | Bridging the Gap between Information Security and I.T. Audit Alex Burke & Kala Durwasniy | E&Y | Robotic Process Automation (RPA) Letitia Clark| City of Tustin Coast Community College District | Bridging the Generation Gap in the Workplace Early Bird Pricing until February 16th: IIA/ISACA/ACFE Members $179; Non-Members $225; Students/Retirees $160 2 Day Rate: IIA/ISACA/ACFE Members $199; Non-Members $239; Students/Retirees $175 1 Day Rate: IIA/ISACA/ACFE Members $99; Non-Members $119; Students/Retirees $85 Group Discount: Buy 3 and get the 4th 40% off! Use code “4TH40%OFF” Registration Link: http://www.eiseverywhere.com/302899 For more information, please contact: (registeriiaoc@gmail.com)

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10 IIA ORANGE COUNTY CHAPTER January 2018

Connecting the World Through Innovation!

Join us as we host The IIA’s 2018 International Conference on the 6–9 of May in Dubai, United Arab Emirates. You will embark on an educational journey, rich with insights for internal auditors at every level. The theme for 2018’s International Conference is “Connecting the World Through Innovation” and will deliver a program that delves into timely issues impacting the

• profession. Earn up to 18 CPE in support of your IIA certification and additional CPEs

are available when you participate in the pre- conference sessions. Get a sneak peek at the diverse and dynamic offerings that encompass Dubai. Watch The IIA’s 2018 International Conference promo video. Don't miss this one of a kind event! Register Today! If you have any questions, please contact us at iiaic2018@emirates.com.

Network and share best practices on existing and emerging issues with 2,500 colleagues from more than 100 countries.

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11 IIA ORANGE COUNTY CHAPTER January 2018

SAVE THE DATE!

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12 IIA ORANGE COUNTY CHAPTER January 2018

Steven Karges Kellin Brown Souraya Esreb Maged Soliman Addam Fulson Baqhar Syed Rakhi Wadera Corey Rizuto – CIA Amanda Merchant – CIA

Upcoming IIA Conferences

Conference Date Location

Phoenix Seminar February13, 2018 Phoenix, AZ San Francisco Seminar March 6, 2018 San Francisco, CA General Audit Management Conference March 12, 2018 Aria Resort & Casino Las Vegas, NV Environmental, Health & Safety Exchange March 15, 2018 Aria Resort & Casino Las Vegas, NV Boston Seminar March 20, 2018 Boston, MA

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13 IIA ORANGE COUNTY CHAPTER January 2018

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. Take advantage of the best prep materials out there by ordering yours today!

To have access your special partner pricing, please log in with the credentials provided by your account manager. IIA CIA Learning System: Self-Study Full Kit (3-Part Exam) - Chapters $895 IIA CIA Learning System: Self-Study Part 1 (3-Part Exam) - Chapters $325 IIA CIA Learning System: Self-Study Part 2 (3-Part Exam) - Chapters $325 IIA CIA Learning System: Self-Study Part 3 (3-Part Exam) - Chapters $325

Visit: www.learncia.com/chapters for more information

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14 IIA ORANGE COUNTY CHAPTER January 2018

Job Opening – IT Controls Analyst

IT Controls Analyst – Lake Forest, CA

General Summary The IT Controls Analyst will be responsible for 1) Developing and assessing IT controls to meet various regulatory standards; 2) Performing periodic assessments within IT and to monitor compliance with internal policies and standards; 3) Follow up on corrective action and perform remediation testing; 4) Spearhead policy and procedure development and reviews within IT Duties & Responsibilities  Assist with creating/revising IT policies, standards and processes that support IT and/or business objectives. Maintain the policy library to ensure it is up-to-date and reflects the current processes employed by the company.  Educate corporate personnel on IT compliance and security standards and best practices  Design and institute appropriate IT controls throughout the IT organization. Suggest actions in order to mitigate risk in any activity that potentially impacts IT security and information management  Performing periodic assessments within IT and to monitor compliance with internal policies, standards and

• controls. Determine audit readiness through pre-audit assessments with IT staff.

 Guide IT in remediation activities and follow up on corrective action plan to ensure design and operating effectiveness.  Assists IT staff in readiness efforts for external audits and reviews which may include, but are not limited to: Sarbanes-Oxley (SOX), PCI, GLBA, NY DFS and other regulatory assessments over IT  Develops and maintains positive relationships with IT staff and customers  Works with the Internal Audit team to assist with validation of IT controls  Participate in new system implementations to provide guidance on IT control requirements and security standards  Regularly interfaces and develops strong working relations with senior management to actively respond to changing technology risks/demands and represents the IT Controls Department on various committees as required  Participate in special projects assigned by the Director of IT Controls and/or IT upper management Job Requirements  3+ years of IT SOX/Audit experience which should include IT General Controls and IT Application controls; “Big 4” audit firm or comparable consulting firm preferred  BA/BS Degree in Computer Science, Information Systems, Finance, Accounting or related degree  Knowledge of the mortgage industry practices and terminology is preferred.  In-depth knowledge of IT control standards and frameworks (COBIT, ISO27001, ITIL, etc.)  Must be able to work effectively with a wide range of people, including senior level management.  Must be able to work independently and have strong project management and leadership skills.  Strong knowledge and understanding of MS Office applications: Word, Excel, PowerPoint, Visio and Outlook  Some technical writing skills  Excellent communication skills (listening, verbal and written) are required. Ability to effectively communicate with both technical and non-technical personnel  Passion for working with technology and pride of ownership in one’s own work Desirable Certifications  Certified IS Auditor (CISA)  Certified Internal Auditor (CIA)  Certified Information System Security Professional (CISSP)  Certified Information Security Manager (CISM) Qualified and interested individuals should send resumes to Alec Munoz, Recruiter II at AlMunoz@loandepot.com. For more details of the job post, please visit https://careers.loandepot.com/job-detail/4634

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15 IIA ORANGE COUNTY CHAPTER January 2018

Job Opening – Internal Audit Assistant Manager

Internal Audit Assistant Manager – Fountain Valley, CA

General Summary Perform audits on corporate departments, suppliers, and dealers as deemed necessary. Duties & Responsibilities  Manage audit projects including all tasks to plan and execute financial, operational, compliance, supplier and dealer audits.  Assist with preparing audit reports that clearly, concisely and accurately summarize results.  Analyze issues identified during audits and assist in developing appropriate corrective action plans.  Perform detailed data analysis and document audit testing. Job Requirements  Three to five years of work experience of which a minimum of three years is directly related experience in public accounting, internal audit, data analysis, or financial analysis.  Bachelor’s degree preferred.  Strong analytical, problem solving and critical thinking skills.  Highly resourceful, self-starter, driven, with the willingness to grow and learn new skills.  Flexible, adaptable, and committed to continuous improvement.  Excellent oral and written communication skills are essential.  Ability to work independently, work under pressure of deadlines, handle multiple priorities, and pay close attention to detail.  Proficiency in the MS Office Suite, including advanced Excel skills (including Pivot Tables, Vlookup, Index Match, etc.).  Working knowledge of AS/400 and SAP environments desired.  Thorough knowledge of audit methods and principles.  Must be able to travel.  CPA and CIA preferred. Qualified and interested individuals should send resumes to Mary Bae at MBae@hmausa.com. For more details of the job post, please visit: www.hyundaiusa.com/careers

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16 IIA ORANGE COUNTY CHAPTER January 2018

Job Opening – IT Internal Audit Manager IT Internal Audit Manager – Fountain Valley, CA

General Summary Assist with the development of IT Internal Audit Plan and perform IT audits on corporate departments, suppliers, and dealers as deemed necessary. Duties & Responsibilities  Perform audits related to compliance, ITGC, integrated IT/operational audits, application controls, data security, system implementations, etc.  Responsible for completion of all tasks related to engagement planning, execution of test work, and reporting.  Prepare and present audit reports that clearly, concisely and accurately summarize results.  Analyze issues identified during audits and assist in developing appropriate corrective action plans.  Perform detailed data analysis and document audit testing. Job Requirements  Three to five years of work experience of which a minimum of three years is direct IT audit experience.  Strong analytical, problem solving and critical thinking skills.  Highly resourceful, self-starter, driven, with the willingness to grow and learn new skills.  Flexible, adaptable, and committed to continuous improvement.  Excellent oral and written communication skills are essential.  Ability to work independently, work under pressure of deadlines, handle multiple priorities, and pay close attention to detail.  Proficiency in the MS Office Suite, including advanced Excel skills (including Pivot Tables, Vlookup, Index Match, etc.).  Working knowledge of AS/400 and SAP environments desired.  Thorough knowledge of audit methods and principles.  Must be able to travel occasionally. Qualified and interested individuals should send resumes to Mary Bae at MBae@hmausa.com. For more details of the job post, please visit: www.hyundaiusa.com/careers

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17 IIA ORANGE COUNTY CHAPTER January 2018

Job Opening – Internal Audit Manger Internal Audit Manager – San Clemente, CA

Position Summary: Internal Audit Manager is responsible for evaluating and reporting on the effectiveness of the internal control structure, compliance with company policies and procedures and industry requirements through internal audit reviews and controls testing. This position will actively contribute as a member of a team of compliance, financial and IT auditors conducting independent audit and risk mitigation assurance activities worldwide. Essential Duties & Responsibilities:



Conduct on-site independent evaluation of financial, operational and compliance control processes worldwide and adequately document the testing observations and remediation of any deficiencies



Review and evaluate the design and operational effectiveness of our SOX control environment and actively contribute to its establishment, maintenance and continuous improvement



Provide expertise and independent judgment in the interpretation and application of US GAAP in the accounting treatment of financial transactions related to current and new business arrangements and processes



Actively contribute to the development of audit strategies, testing programs and procedures



Provide consulting services to business process owners (BPOs) and assist in the assessment of financial reporting risk events and the formulation of well-designed and cost-effective internal controls to mitigate these



Work with external auditors to ensure effective coordination of efforts as applicable



Provide education and training to management and staff on SOX compliance concepts and financial reporting risk management principles



Complete any and all other projects as assigned by the Head of Internal Audit Knowledge, Skills & Qualifications:



Strong knowledge of US GAAP and strong technical accounting skills honed through direct involvement (with senior members of the finance/accounting team) in the deliberation, interpretation, and decision-making in the application of US GAAP in various business situations



Strong knowledge and experience in the role of a senior manager within a finance/accounting team and direct involvement with monthly close activities, financial modeling/analysis, preparing and consolidating financial statements, and managing GL



Strong knowledge and experience with SOX requirements and design, execution and review of testing of business cycle internal controls, application controls, entity-level controls, and fraud controls.



Proficient in Excel, Word and Outlook



Strong verbal and written communication skills



Excellent problem-solving, decision-making, time-management and project-execution skills



Able to multitask, work under pressure in a fast-paced environment, and meet deadlines



High level of attention to detail



Strong organizational skills Required Qualifications:



Bachelor’s degree from an accredited college or university with emphasis in accounting and finance



Minimum 3 years as a senior manager (or above) role within the finance/accounting team of a public company



Minimum 2 years of direct internal audit experience



Certified Public Accountant (CPA) – active status



Strong experience with an ERP system - Oracle EBS preferred



Medical device industry experience



Manufacturing industry experience Preferred additional qualifications: Certification: CIA; CISA Minimum Qualifications: Must be at least 18 years of age | Must pass pre-employment drug screen and background check Travel Requirements: Typically requires travel 5 - 20% of the time Physical Requirements and Work Environment:



While performing the duties of this job, the employee is regularly required to talk or hear. This is largely a sedentary role; however, some filing is required. This would require the ability to lift files, open filing cabinets and bend or stand on a stool as necessary.



This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. We are an Equal Employment Opportunity Employer, Female/Minority/Veterans/Disabled/Sexual Orientation/Gender Identity. Qualified and interested individuals should apply at ICU Medical career website at: https://workforcenow.adp.com/jobs/apply/posting.html?client=ICUADP&ccId=19000101_000001&type=MP&lang=en_US

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18 IIA ORANGE COUNTY CHAPTER January 2018

Job Opening – Internal Auditor Internal Auditor, Compliance – San Clemente, CA

Position Summary: The Internal Auditor actively contribute as a member of a team of compliance, financial and IT auditors conducting independent audit and risk oversight activities at ICUMED locations worldwide. This position will report directly to the Internal Audit Manager. Essential Duties & Responsibilities:



Conduct FCPA and other compliance-related audit procedures.



Conduct independent testing and assessment of financial control processes worldwide to provide assurance to senior management that these are designed and operating effectively.



Execute assigned audit test plans and prepare comprehensive documentation of audit testing performed, testing observations/conclusions, and control deficiency remediation.



Review audit support evidence with a level of professional skepticism ensuring audit conclusions are based on a complete understanding of the process, circumstances, and risk.



Identify issues and present the results of audit procedures to the respective business process owners, including recommendations to address risks related to identified control deficiencies, and coordinate the timely remediation of these.



Actively participate in cross-functional teams addressing internal and external issues in support of corporate objectives.



Actively contribute to the design of our audit approach for ensuring compliance with the FCPA, SOX and all other regulations that apply to the company.



Research and stay current on new literature applicable to corporate governance, risk management, internal controls and emerging trends and best practices related to these.



Must be able to work extended hours as needed and required.



Maintain the strict confidentiality of sensitive information.



Observe all laws, regulations and other applicable obligations wherever and whenever business is conducted on behalf of the Company.



Work in a safe manner in accordance with established operating procedures and practices.



Work on special assignments as assigned by the Internal Audit Manager. Required Qualifications:



Bachelor’s degree (or higher) from an accredited college or university



Minimum of 2 years direct FCPA and other compliance-related audit experience



Experience with an ERP system – Preferred: Oracle EBS



Strong data analysis skills honed through direct experience data analytics experience



Knowledge of business and IT processes and how they intersect with financial transactions.

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Advanced skills in Excel, Word

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Kind, confident, positive, conscientious and diligent personality



High level of personal integrity and ethics



High level of enthusiasm and a capacity for overcoming obstacles



Professional demeanor



Earnest and consistent striving for excellence in the completion of one’s work



High level of adaptability to a fast-paced work environment and dedication to meeting high-pressure deadlines as may be necessary

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Strong oral/written communication skills that enable effective articulation and communication with peers and management



Strong and effective interpersonal and collaborative skills

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Demonstrated strong analytical skills that enable effective issue detection, assessment and resolution



Ability to work independently, with limited required direction and guidance.



Regular and reliable attendance required Preferred additional qualifications:



Certification: CPA; CFE; CCEP; CIA; or CISA certification



Oracle SQL script development and data mining skills



Medical device industry experience



Manufacturing industry experience Minimum Qualifications: Must be at least 18 years of age | Must pass pre-employment drug screen and background check Physical/Mental Requirements:



Ability and willingness to travel domestically and internationally (up to 30%)



While performing the duties of this job, the employee is regularly required to talk or hear.



Some filing is required that would require the ability to lift files, open filing cabinets and bend or stand on a stool as necessary.



This job operates in a professional office environment and this role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. We are an Equal Employment Opportunity Employer, Female/Minority/Veterans/Disabled/Sexual Orientation/Gender Identity. Qualified and interested individuals should apply at ICU Medical career website at: https://workforcenow.adp.com/jobs/apply/posting.html?client=ICUADP&ccId=19000101_000001&type=MP&lang=en_US

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19 IIA ORANGE COUNTY CHAPTER January 2018

Job Opening – Internal Audit Associate Global Assurance & Advisory (Internal Audit) Associate – Newport Beach, CA

General Summary The Global Assurance & Advisory function at CBRE is led by the Senior Vice President and Chief Audit Executive who reports directly to the Chairman of the Audit & Finance Committee and administratively to the General Counsel. This team continuously strives for world class service delivery and consists of 10+ professionals based in El Segundo, CA and Dallas, TX. The function is responsible for performing annual Sarbanes-Oxley (SOX) testing on behalf of management, as well as providing independent and objective assurance and consulting services. Projects are risk-based (not recurring or checklist audits) covering a wide variety of business risks across financial, operational, technological, and strategic areas. The department is charged with building future leaders for CBRE, offers support for certifications and professional education, and operates with a flexible work schedule. Duties & Responsibilities  The Internal Auditor is responsible for evaluating risks to the company and consulting with management to identify process improvements and operational efficiencies, all performed in accordance with professional standards.  Performs substantive testing verifying the effectiveness of established processes and procedures and verbally communicates and confirms findings/observations identified through detailed testing.  Successfully manages competing demands and is able to monitor that their individual work is delivered on time and within budgeted hours.  Conducts client interviews to understand and document processes and procedures.  Reviews organizational data, policies, processes, procedures, and practices in order to verify the accuracy and compliance with management expectations, regulatory requirements, and overall best practice.  Individual work papers and evidence of work performed are completed on time and are organized to fully support conclusions and findings.  Results of project work will be a draft formal, professionally written recommendations to executive management on

• rganizational improvement opportunities.

 Performs other duties as assigned Job Requirements  Bachelor's degree in business, accounting, finance or related field.  2+ years of external/internal audit and overall knowledge of general accounting and audit procedures  Certified Public Accountant (CPA), or Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA) are a plus.  As a service provider and internal advisor, is professional in appearance and interactions. This will include working with those whose first language may not be English.  Ability to effectively respond to moderately complex inquiries from clients, co-workers, supervisor, and/or management.  Ability to present information to client, internal department, and/or large groups of employees.  Requires knowledge of financial terms and principles.  Ability to collect, analyze, and summarize data and to prepare clear and concise reports.  Conducts basic financial analysis.  Ability to understand and carry out general instructions in standard situations.  Interpret a variety of instructions furnished in written, oral, diagram, or schedule form and to work independently  Requires basic analytical and quantitative skills.  Ability to work independently to complete tasks and assignments.  Willingness and flexibility to travel (domestic and international) up to 20%.  Proficient in Visio, PowerPoint, EXCEL, Word, and Outlook.  Knowledge and proficiency in audit software (TeamMate) is a plus. This job can be based out of Newport Beach, or El Segundo, or Dallas Office. Qualified and interested individuals should send resumes to: Alison Caplan Global Legal Services VP of Operations Alison.Caplan@cbre.com For more details of the job post, please visit: https://cbre.referrals.selectminds.com/jobs/experienced-internal-auditor-26401

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20 IIA ORANGE COUNTY CHAPTER January 2018

Job Opening – Internal Auditor Internal Auditor – Aliso Viejo, CA

General Summary Carrington is a holding company whose primary businesses include asset management, mortgages, real estate transactions and real estate logistics. Collectively, the businesses are vertically- and horizontally-integrated, and provide a broad range of real estate services encompassing nearly all aspects of single family residential real estate transactions in the United States. Carrington’s international presence includes operations in the United Kingdom and Italy. Guided by a leadership team with a wealth of industry experience and guided by a consistent philosophy, Carrington maintains the necessary infrastructure to ensure stability and maximize value during any market

• cycle. Please join us!

Duties & Responsibilities The Branch/Internal Auditor will be responsible for planning and conducting branch and/or internal

• perational audits within the network of Carrington companies to ensure compliance with applicable

local, state and federal regulations, corporate standards and generally accepted accounting

• principles. Perform all duties in accordance with the company’s policies and procedures, all US state

and federal laws and regulations, wherein the company operates.  Conduct branch or internal audits within a scope based on functional, financial, reputational and regulatory risks.  Plan, execute and reports financial and operational findings.  Make recommendations to improve procedures and other improper documentations accordingly.  Develop, initiate, and report on complex audit matters, special investigations and projects.  Perform other duties as assigned. Job Requirements  Bachelor’s Degree in Accounting, Finance, or other business field or equivalent work experience.  Minimum 2 years’ experience internal audit experience. Qualified and interested individuals should send resumes to Angie Esquivel, Talent Acquisition Recruiter atangie.esquivel@carringtonmh.com. For more details of the job post, please visit: https://careers-carringtonmh.icims.com/jobs/5448/internal-auditor/job

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21 IIA ORANGE COUNTY CHAPTER January 2018

Volunteer Job – Supervisory Committee Member Supervisory Committee Member – Orange County, CA

Do you have a desire to participate on a Supervisory (Audit) Committee? Would you like to utilize your finance, accounting and audit skills in a different capacity? American First Credit Union is looking for volunteers to serve on their Supervisory Committee. The Supervisory Committee is made up of volunteers that help to ensure compliance with Federal and State regulations, the Credit Union’s financial soundness and establishing credit union policies. Knowledge and Skills Required:  An understanding of the credit union philosophy and the desire to work to better the financial lives of our members.  The ability to understand basic financial statements  The ability to think and plan strategically  Computer literacy To be considered, applicants must either be an active American First Credit Union member or must join the credit union if selected. You must be available to attend monthly meetings and periodic planning sessions. If you have a desire to share your professional skills and willingness to take a leadership role in the development and growth of the credit union, please let us know. For further information please visit amerfirst.org/volunteers or send your resume to Gina Rodriguez Grodriguez@amerfirst.org

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22 IIA ORANGE COUNTY CHAPTER January 2018

Job Opening – Internal Auditor Internal Auditor – Aliso Viejo, CA

We are currently seeking candidates for the position of Internal Auditor based in Aliso Viejo, Calif. In this role, the ideal candidate conducts internal financial and/or system audits and risk assessments. He/she may test and document financial and computer system records for information system integrity and transaction accuracy. Responsibilities Include:



Perform audit procedures, including identifying and defining issues, developing criteria, reviewing and analyzing evidence, and documenting processes and procedures.



Conduct interviews, review documents, compose summary memos and prepare working papers.



Provide management with analyses, supporting information and recommendations concerning the activities reviewed.

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Communicate the results of audits and special projects via written reports and oral presentations to management.

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Assist in the performance of Sarbanes-Oxley and operational test procedures as well as the coordination and fulfillment of external audit procedures.

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Maintain current knowledge of changes and developments in the industry, regulatory environment, and Audit profession. Job Requirements



Excellent communication skills, both oral and written, are required



Candidates must have a Bachelor's degree in Information Systems, Accounting, Finance or Business Administration

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Minimum of 5 years of experience in internal auditing positions, or public accounting experience



CPA, CIA, CISA or CISSP / SANS Certification is highly preferred



Publicly-traded companies experience preferred



Manufacturing experience preferred



Willingness to travel domestically and Internationally 25% of the time



Proficiency with Microsoft Office applications (MS Word, MS Excel, MS PowerPoint)



This job requires access to technology, materials, software or hardware that is controlled by the export laws of the United States. Candidates are required to provide proof of either US citizenship, Permanent US residency or classification as a protected individual as defined in 8 USC 1324b (a) (3). Qualified and interested individuals should please apply to the link listed below. Any questions, please contact Rich Mulvania at rich.mulvania@microsemi.com https://recruiting.adp.com/srccar/public/RTI.home?c=1153851&d=External&r=5000223812506#/

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23 IIA ORANGE COUNTY CHAPTER January 2018

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 steve@SRGsearch.com or nungaro2001@yahoo.com. Thank you.

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24 IIA ORANGE COUNTY CHAPTER January 2018

FY 2017-2018 Officers, Governors and Operating Committees

President Rachel Snell Rsnell1@mail.cccd.edu 1st Vice-President Meghan Kennedy Meghankennedy.iia@gmail.com 2nd Vice-President Yuliya Poutkaradze yuliya.poutkaradze@ey.com Vice-President – Programs Steven Vengrow steve@SRGsearch.com Treasurer Jenny Nguyen Jnguyen@sarecycling.com Secretary Stella Acosta SAcostaCPA@gmail.com Past President Jonathan Jayasinghe jonathan.jayasinghe.iia@gmail.com Governors Roy Currington roycurrington@gmail.com Chip Clark chipclark@earthlink.net Tiffany Bui tbui5@hotmail.com Barnaby Wang bwang@century-group.com Jason James jason.james@regentsandpark.com Reety Sandhu Rsandhu@hcamerica.com David Pepper davidociia@gmail.com Employment Committee Chair Rachel Snell Rsnell1@mail.cccd.edu Programs Committee Chair Steven Vengrow steve@SRGsearch.com Programs Committee Co-Chair Nicole Ungaro nungaro2001@yahoo.com Registration Committee Chair Jenelle Franklin Jenelle.Franklin@PacificLife.com Registration Team registeriiaoc@gmail.com Chapter Achievement Program Chair Doann Khoo doann.khoo@ey.com Membership Committee Chair Gail Nishida Nishida@chapman.edu MMT Administrator Gail Nishida Nishida@chapman.edu Auditor Andrew Field andrew.field@gmail.com Academic Relations Co-Chair Barnaby Wang bwang@century-group.com Raj Sawhney rsawhney@focal-point.com CAE Roundtable Chair Cecilia Pham bdhpham@gmail.com Meghan Kennedy Meghankennedy.iia@gmail.com Advocacy Committee Chair John Brooks johnbrooks@firstam.com Corporate Sponsorship Chair Nicole Ungaro nungaro2001@yahoo.com Assistant Treasurer Bo Kim Bo.Kim@mossadams.com Webmaster Quyen Ngo know.quyen@gmail.com Newsletter Editor Joelle Nguyen joellenguyen.iia@gmail.com