NEW YORK REPORTS PLATINUM AWARD CHAPTER January 2013

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1 New York Chapter of the Institute of Internal Auditors NEW YORK REPORTS PLATINUM AWARD CHAPTER January 2013 Knowledge Through Sharing and Learning Happy New Year to you and yours! The Chapter started off the year with a bang, with our first event bringing together over 150 internal audit professionals to our January workshop held at Baruch College. Dr. Glen Sumners of Louisiana State University shared his knowledge on data analytics and its benefits and drawbacks. Special thanks to Rachel Bond, an LSU alumnus who was instrumental in securing the esteemed speaker. On January 17, the Business and Industry Committee held Auditing the Compliance Function, a one and a half hour panel discussion held at Ernst & Young s offices in Times Square. The panel shared their thoughts with a group of seventy and discussed strategies and best practices for auditing the compliance function within our organizations and key concepts to consider when working with colleagues from compliance departments. Our next workshop will be downtown at the United Federation of Teachers. The morning session will be presented by Protiviti while Grant Thornton will be the luncheon and afternoon speakers. See pages 6-9 of this newsletter for more details and information on how to register. For those of you who work for organizations who purchase our popular workshop subscription ticket packages, please keep in mind there are only three more workshops (February, March, and April) towards which the tickets can be used this Chapter year. Lastly, see page 3 of this newsletter for the nominations for next year s New York Chapter Executive Committee and Board of Governors. The Chapter membership will vote on these positions at our annual membership meeting, immediately following the March workshop at Baruch. Complimentary hors d oeuvres and cocktails will be served. Best Regards, Brian Mannix, President IIA New York Chapter 1

2 In This Issue President s Message 1 NY Chapter Annual meeting and Nominations 3 Page NY Chapter Information 2012/2013 Chapter Officers 2012/2013 Committee Chairs Upcoming Events and Workshops Schedule February Workshop Certification Information CIA / CGAP Review Course Flyer ipace Online Course Member News Member Benefits Social Media Update Share your Knowledge 15 Membership Update 15 Employment Opportunities 15 Academic Relations Committee

3 Institute of Internal Auditors- New York Chapter Nominations for Officers and Governors to be Elected at Annual Meeting on March 22 nd Nominees for Re-election: Nick DiMola Rich Dapcic Marian Dougherty Mike Fucilli Xenia Ley Parker John Schaedel Board of Governors Nominees for Vacant Positions: Eleanora Pechenik Diane Napolitano Executive Committee For the Chapter Year Scott Kenney President Raquel Marin-Oquendo Executive VP Juan Perez VP of Professional Development Carmen Caceda - VP of Professional Services Uday Gulvadi VP and Treasurer Alex Cacanando - VP and Secretary ***There will be a complimentary cocktail hour for all members after the March 22 nd workshop where we hold the elections for the upcoming Chapter Year 3

4 IIA NY Chapter Officers President BRIAN MANNIX New York Life Insurance Company (212) Executive Vice President SCOTT KENNEY Deloitte & Touche (212) Vice President-Professional Development RAQUEL OQUENDO Columbia University Medical Center (212) Vice President - Professional Services CARMEN CACEDA Carmen_Caceda@msn.com Vice President & Secretary ELEONORA PECHENIK epechenik.iia@gmail.com Vice President Treasurer JUAN PEREZ New York Life Insurance Company juan_h_perez@newyorklife.com Immediate Past President ( Chapter Year) JOHN FITZPATRICK Accume Partners (516) jfitzpatrick@accumepartners.com 4

5 IIA NY Chapter Committees CAP Reporting Officer: Brian Mannix Chair: Linda Tan Audit: Officer: Brian Mannix Chair: Ines Janssen Nominating: Officer: Brian Mannix Chairs: John Fitzpatrick, Diane Napolitano Volunteer: Officer: Brian Mannix Chair: Debra Soumare Long Range Planning: Officer: Scott Kenney Chairs: Paul Flora, Nick DiMola General Auditors Roundtable: Officer: Scott Kenney Chair: Paulette Mullings Bradnock Business and Industry: Officer: Scott Kenney Chairs: Stacey Guardino, Uday Gulvadi, Patrick Glenn, Tracey Thomas,Alex Cacanando,Jessica Rodgers Special Events: Officer: Scott Kenney Chairs: Stacey Guardino, Uday Gulvadi, Patrick Glenn, Tracey Thomas Government Audit Committee: Officer: Scott Kenney Chairs: Ed Icasiano, Ellen Issacs History: Officer: Scott Kenney Chairs: TBD Academic Relations: Officer: Scott Kenney Chairs:Rachel Bond, Olga Davis, Jennifer Morris, Cheryl Lovell, Altagracia Rodriguez, Kate Zafonte Annual Audit Seminar: Officer: Raquel M. Oquendo Chairs: Uday Gulvadi, Carlos Garcia, Andrew Goldberg, Rachel Bond, Erin Morrow Workshops: Officer: Raquel M. Oquendo Chairs: Rachel Bond, Adwait Tare, Uday Gulvadi, Jim McCabe, Anthony Canton, Cheryl Lowell Luncheon: Officer: Raquel M. Oquendo Newsletter: Officer: Carmen Caceda Chair: Dainora Tommasino Social Media /Communications: Officer: Carmen Caceda Chair: Aleksandra Terzano Public Relations, Advertising and Employment: Officer: Carmen Caceda Chair: Andrew Goldberg Subscription: Officer: Carmen Caceda Chair: Bill Morello CIA Exam: Officer: Eleonora Pechenik Chair: Olga Davis Membership: Officer: Eleonora Pechenik Chairs: TBD Outreach: Officer: Eleonora Pechenik Chairs: TBD Awards Dinner: Officer: Eleonora Pechenik Chairs: Mariaelena Deloux, Kathy Rennert Diversity: Officer: Eleonora Pechenik Chair: Junny Rivera Social: Officer: Eleonora Pechenik Chair: Coryse Farris Financial Reporting: Officer: Financial Controls: Officer: Juan Perez Chairs: Melissa Teti, Anthony Porco i Awards and Gifts: Officer: Juan Perez Chair: Carlos Garcia 5

6 IIA NY Chapter Workshops / Luncheons September 14, 2012 Location: Baruch College AM: Protiviti, Third Party Risk Management Luncheon: IIA Global Headquarters Kevin Mayeux, EVP, CO for NA Ops and General Counsel for IIA Global Headquarters PM: Eisner Amper LLP, Risk Assessments/Privacy, data security and breach response compliance /Business Continuity and disaster recovery October 19, 2012 Location: Hard Rock Café AM session: Crowe Understanding Fraud and Current Statistics, Behavioral Elements of Fraud, Expanding the fraud triangle, Developing a best in class fraud risk assessment, Business Practices and Ethics Luncheon: Deloitte An Overview of fraud, the FCPA and UK Bribery Act PM: Deloitte Role of Internal Auditors in Mitigating Potential Corruption Risk November 16, 2012 Location: Baruch College AM: IIA Research Foundation, Preparing Internal Auditors for the Future Luncheon: Grant Thornton, State of Internal Audit PM: Telavance, Internal audit of AML & OFAC December 7, 2012 Location: United Federation of Teachers (UFT) AM: AIG/Protiviti, Emerging IT Risk/Trends Luncheon: KPMG, Implementing Effective Privacy Monitoring PM: Honkamp Krueger Construction Auditing Risks for 2013 and Beyond January 11, 2013 Location: Baruch College Full Day Session: LSU, Analytics February 15, 2013 Location: United Federation of Teachers (UFT) AM: Protiviti, Regulatory Hot Topics Luncheon: Grant Thornton, Vendor Risk Management PM: Grant Thornton, Social Media March 22, 2013 Location: Baruch College AM: Goldman Sachs, Continuous Monitoring Luncheon: Win the room-public speaking to One or a Million PM: AIG, Enterprise Risk Management April 12, 2013 Location: Hard Rock Café AM: Experis, the Risk Surrounding Cloud Computing Luncheon: E&Y, TBD PM: Sabre Holdings, Moving IA along the continuum May 17, 2013 Location: United Federation of Teachers (UFT) 40 th Annual Audit Seminar 6

7 IIA NY Chapter February 2013 Workshop Date: Friday, February 15, 2013 Times: 8:30 AM 4:30 PM Location: United Federation of Teachers 52 Broadway New York, NY CPE: 7 credits will be awarded for the full day workshop 3 credits will be awarded for half-day workshop 1 credit for luncheon workshop ~~Registration is open~~ Members: $175 Non-Members: $195 Luncheon Only (Members): $60 Luncheon Only (Non-Members): $70 ½ day with Lunch (Member): $90 ½ with Lunch (Non-Member) $100 ½ day without Lunch (Member): $80 ½ day without Luncheon Non-Member: $90 AM: 8:30 am - 11:30am (3CPE) Presentation Topic: The implications for IA as a result of part 165 of Dodd Frank as well as provide an overview of the OCC s Get to Strong initiative and The Condensed Alphabet of Fraud Building a Common Language of Scenarios and Risks. Timothy W. Long, Managing Director NY Office - Tim Long is a Managing Director in Protiviti s U.S. Financial Services Industry Practice. He brings extensive knowledge of financial services regulation with hands on experience in all bank supervision and policy related matters. Tim retired from the OCC after a 31 year career in which he oversaw virtually all of the agency s bank supervision and policy units. He has significant experience working with large complex banks, regional financial institutions and community bank organizations. In his most recent role with the OCC, Tim served as Senior Deputy Comptroller for Bank Supervision Policy and Chief National Bank Examiner. He was a key advisor to 7

8 the Comptroller, a member of the OCC s Executive Committee, and was Chair of the Committee on Bank Supervision for the agency. Pamela Verick, Director Investigations & Fraud Risk Management - Pamela Verick is a Director in our Investigations & Fraud Risk Management solution where she focuses on investigations and leads our fraud risk management and FCPA initiatives. Pam has over 20 years of risk management experience, including development of anti-fraud programs and controls, fraud risk assessment, fraud and misconduct investigations, Sarbanes-Oxley assistance and development of compliance and ethics programs for both the public and private sector. Ms. Verick s technical expertise in risk management, specifically in matters involving fraud and misconduct, was developed through her work with Fortune 500 and 1000 companies and non-profit organizations as well as federal, state and local government agencies. Pam regularly assists Management, as well as Audit, Governance and Corporate Compliance Committees in the identification and assessment of risk involving fraud, bribery and other types of misconduct, as well as evaluation and strengthening of fraud risk management programs, anti-bribery compliance strategies and internal control frameworkscontrol frameworks. These projects have been conducted in both proactive and reactive settings, either to enhance enterprise-wide risk activities, develop internal audit plans, comply with regulatory requirements or respond with remediation activities following investigation, regulatory or legal proceedings. Ms. Verick has also facilitated numerous fraud and misconduct trainings and fraud risk workshops in the US and overseas marketplace. She has assisted numerous internal and external audit teams, as well as legal counsel, in the review of whistleblower statements made in connection with suspected fraudulent activities, and performed internal forensic investigations on a wide range of matters, including the Foreign Corrupt Practices Act. Luncheon Workshop: 12:30pm 1:30pm (1CPE) Presentation Topic: Vendor Risk Management PM: 1:30pm 4:30PM (3CPE) Presentation Topic: Social Media Grant Thornton will be presenting the luncheon & PM session 8

9 Armand A. Hensen CISM, CISA - Armand is a Senior Business Advisory Services practice at Grant Thornton, delivering Information Technology solutions and IT Risk Management services. His experience spans across both large public fortune 500 companies as well as privately owned entities, which gives him a unique perspective of technology best-practices relative to organizational scale. Armand specializes in information technology consulting and risk management, working with clients in financial services, healthcare, retail, consumer and industrial products (manufacturing and distribution), media & entertainment, and technology. His areas of expertise include IT operational reviews and process improvement, due diligence assessments, control design, technology audits, vendor risk management, data center effectiveness reviews, Disaster Recovery / Business Continuity Planning, managing and executing technology projects, including software selection and implementation planning, outsource solution selection, and change management. He has extensive experience supporting organizations coping with compliance and IT operational challenges by assisting with their IT risk management, control rationalization, control. John F. Cooney, CIA - John has more than 14 years of industry experience, including more than seven years of experience providing internal audit, business risk and compliance advisory services to financial institutions, financial services firms and other clients at Grant Thornton. John s financial institution and financial services experience covers regulatory compliance, BSA/AML system testing, operations, sales and trading, treasury, equities IT systems, regulatory reporting, and abandoned property. His consulting projects include reviewing floor brokerage accounts for accuracy and reconciliation and managing a complete balance sheet substantiation effort. He has extensive experience in assessing compliance operations. Other experience includes the creation and implementation of a project management office (PMO). John has experience working with software development, project management and systems implementations including product development, implementation and rollout, system administration and database administration. For more information: To register: http: 9

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13 Members Benefits As a valued member of the Institute of Internal Auditors and the New York Chapter, I d like to remind you of just some of the benefits that are available to you as members. Membership entitles you to: Member Only Discounts through the IIA s Affinity Program-The IIA has partnered with a select host of companies to provide our members with special discounts on products and services. These companies include: Dell, Geico, Hertz and Omni Hotels, among others. Member Only Discounts on Training through the Institute and the New York Chapter- As a member of the IIA, you are entitled to valuable guidance, training, and services at discounted prices including : o o o Workshops Conferences Seminars o Webinars, webcasts and e- learning opportunities o Vision University Member Only Rates on Items in the IIA Bookstore and Professional Certification Exam Fees Instant Access to Valuable Reference Tools and Resources for the Profession- These include: o o o Professional Practice Framework Practice Advisories Subscription to Internal Auditor Magazine Extensions Extensions on Membership Dues: We understand that it may be difficult for your company to process your membership renewal at this time. If that is the case, we will grant all terminating members a complimentary extension until February 1, You do not have to do anything for this automatic membership extension to take effect. Extensions on Conference Early Bird Specials: We hope that you have seen the recent offering an early bird extension for the 2013 General Audit Management (GAM) Conference. For members of the Northeast Region, we are extending the discount code EXT0313 to December 31, Use Discount Code EXT0313 when registering online or by calling We hope that you take advantage and enjoy the many benefits the Institute of Internal Auditors and the New York Chapter Please visit the IIA at for the latest information on member benefits or at to become a new member and take advantage of significantly reduced membership rates. We look forward to seeing you and your colleagues at our upcoming events. 13

14 Social Media Update We invite our members of the IIA New York Chapter to share your knowledge and enhance networking opportunities to. Please join the NY IIA Chapter LinkedIn group. Follow us on the following sites: Other IIA sites to follow: Share Your Knowledge New York Chapter is full of experienced auditors; this is an opportunity for members to share and learn from each other. You can contribute in any of the three ways: Expertise Stories Books Wisdom, tip, insight or technique that you ve found improves your audit process or saves you time. How did you get to where you are today? What have you been reading? We ll choose two each month and list them. For other members interested in submitting information to be published in our newsletter, please send an to our VP of Professional Services and Newsletter Officer Carmen Caceda at by the 20 th of each month. 14

15 Membership Update Not receiving Chapter s and Workshop notifications? Please UPDATE YOUR IIA PROFILE! Log onto using IIA Member ID and Password Volunteer Corner If you are interested in volunteering for our chapter, please reach out to our Volunteer chair, Debra debra.stbernard@aeroflex.com Employment Opportunities If you are looking for a new opportunity, we currently have new job posting on our website. Individuals or organizations interested in posting job opportunities should submit a condensed job description to the Employment Officer, Carmen Carmen_Caceda@msn.com 15

16 Academic Relations Committee The chapter's Academic Relations Committee presents internal audit related subject matter to students at local college and university career fairs. If interested, your organization can take the opportunity to have any open positions communicated at these events. If interested, contact Scott skenney@deloitte.com Also, if anyone with Student Internship opportunities, please contact our Academic Relations Committee Officer Scott skenney@deloitte.com 16