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Dear Members:
The IIA International Conference located here in New York is fast approaching! Check page 12 for more information about the conference programs and how to register. The International Conference features world class international speakers and over 2,000 audit professionals from all over the word.
In addition, check page 15 for the links to download the free NY Chapter mobile app. This app will provide you with information about NY Chapter events, job postings and valuable information regarding the internal audit profession in general. The app is available for IOS and Android devices.
Remember there are only two workshops left for the Chapter year and remaining subscription tickets must be used by May 13, 2016 when we conclude the 2015/2016 events calendar. Our next workshop is scheduled for April 15 at Baruch College. In the morning session PwC will be presenting “Integrated Risk Functions: Coordinated Compliance & Internal Audit in HealthCare.” The luncheon session will consist of an interactive panel discussion, "Risk Governance and Culture”, moderated by EY. In the afternoon session, Experis will be presenting 3 continuous sessions as follows:
Management Responsibility for the System of Internal Controls and Promoting Corporate
Culture Game Changing Impact: Moving from assurance to influence Managing 3rd Party Risks
Please see page 5 for the complete program description and speaker bios.
Platinum Chapter April 2016 Newsletter NY IIA Chapter Website Link
Know ledge Through Sharing and Learning
News In April (Click links here directly to go to areas) Events and Workshops 4 - 14
Member News 15 - 17
Certification Corner 18 – 23
NY Chapter Information 2015-2016 24 - 26
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I would like to thank you for your patronage and commitment to the NY Chapter.
Juan H. Perez, CIA, CPA President, The IIA New York Chapter
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In This Issue
Message/Events/Information Page (follow link)
President’s Message 1
Events and Workshops 2015-2016 Workshop Luncheon Schedule April 15th, 2016 – Workshop & Luncheon July 17-20, 2016 – International Conference 2015-2016 – General Auditor’s Roundtable Schedule Manager’s and Director’s Roundtable Information
4 5
12 13 14
Member News
NEW – NY Chapter IIA App for IOS Apple devices & Google Play News from the IIA Employment Opportunities and Internships
15 16 17
Certification Corner Member Certifications Discount on CFSA Exam CIA Learning System – Discount & Practice Questions PACE CIA Exam Preparation – Spring 2016 NEW Designation – Internal Audit Practitioner Information on CRMA Certification
18 19 20 21 22 23
NY Chapter Information 2015/2016 Chapter Officers Chapter Committees
24 25
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2015 -2016 NYIIA Workshop and Luncheon Schedule
Workshop & Luncheon
Date & Location
Presenter & Topic
September 18, 2015
Hard Rock Café Times Square
• Eisner Amper (M) - COSO 2013, IT Trends, Vendor Management • Protiviti (L) – Predictive Analysis• Protiviti (A) – Consideration for Cybersecurity
M (Morning)L (Luncheon ) A (Afternoon)
October 16, 2015
Baruch
• Deloitte (M) – “Internal Audit and Technology: How we harness it, leverage it, and control it”
• Jim Wistman (L) – Best Practices in GRC• Telavance (A) – BSA/AML Risk Assessment, Advanced Analytics in
Suspicious Activity Detection
November 13, 2015 Baruch
• GRC Training Institute (M) – GRC & Ethics, Continuous Monitoring• Quality Plus Associates (L) - QAR – A Strategic Assessment• McGladrey (A) – IA Risk Assessments
December 11, 2015
Baruch
• Tom Palczewski (M) – Operational Auditing• NYRA (L) – Audit Committee Reporting• Digital4nx Group, Ltd (A) – Digital Forensics
January 15, 2016
Baruch
• Baker Tilly (M) – Hot Topics in IA, Branding your IA Function • Tom Palczewski (L) – Writing Skills - Dev of Audit Concerns• Navigant (A) – Fraud Prevention and Detection
February 12, 2016
Hard Rock Café Times Square
• Dr. Glenn Sumners (M) – Risk Assessment and ERM • Dr. Glenn Sumners (L) – Why You should Have a QAR• Dr. Glenn Sumners (A) – Risk Assessment and ERM
March 11, 2016
Baruch
• RSM, LLP (M) – Cybersecurity• KPMG (L) – IA Quality Assurance Practices• BDO (A) – Internal Controls and Risk, Internal Investigations and
Fraud Risks
April 15, 2016
Baruch
• PwC (M) – Healthcare auditing• EY (L) – Risk Governance and Culture• Experis (A) – Management Responsibulity for Internal Control
Framework
May 13, 2016
Baruch
• ConEd (M) – IA and Change Management• KPMG (L) – Data Analytics• Crowe Horwath (A) – Control Sustainability and Optimization,
Effectively Managing Interactions and Relationships
For more information contact VP of Professional Development Uday Gulvadi at [email protected]
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Date: Friday, April 15th, 2016 Time: 8:30 AM – 4:30 PM Location: Baruch College
55 Lexington Ave, Room 14-220, New York, NY 10010,
CPE: 7 credits will be awarded for the full day workshop 3 credits will be awarded for half-day workshop
1 credit for luncheon workshop
*********Registration is Open*********
Members: $175 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 Lunch (Non-Member)$90
April 15th, 2016 – WORKSHOP INFORMATION
AM 8:30 am - 11:30am (3 CPE)
Presentation Topics:
Integrated Risk Functions: Coordinated Compliance & Internal Audit in HealthCare
The federal government has recently issued its point of view regarding the roles and responsibilities of effective health care compliance oversight. Specifically, the Office of Inspector General’s (“OIG”) Practical Guidance for Health Care Governing Boards on Compliance Oversight lays out guidance on the interrelationships between traditionally siloed risk and governance functions, including compliance, internal audit, legal and human resources. This presentation will focus on the coordination and integration between the compliance and internal audit functions of healthcare organizations, and how this relationship can create efficiencies and more robust risk coverage across an organization. We will speak to points of interaction and what roles each function owns during risk assessments, monitoring, auditing, providing guidance to the organization, and governing board reporting. The presentation will demonstrate how this integrated risk function is an essential element of the Internal Audit and Compliance offices of the future.
April Workshop
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Key points include:
• Discuss recent government enforcement trends and emerging health industry compliance issues. • Provide an overview of traditional compliance and internal audit functions, and how leading
organizations are transforming these functions to align with Internal Audit and Compliance office of the future.
• Discuss leading practices regarding collaboration between compliance and internal audit in various areas, including risk assessment, monitoring, and auditing, as well as guiding the organization, and governing board reporting
Speakers:
Adam Bruhnke
Adam is a Manager in PwC's Risk Assurance Internal Audit Services practice with 9 years of experience providing advisory services related to internal audit, risk management and compliance. His experiences come from a mixture of “big four” and industry environments. Adam has participated in risk assessments, execution and management of numerous internal audit reviews, and participated in various consulting engagements. In addition, he has overseen operational, financial and compliance based reviews, which majority have been global in nature. Adam has also partnered with clients in developing enterprise risk management programs. During his career he has provided services across numerous industries: including healthcare, manufacturing, electronics, pharmaceuticals, government and entertainment and media. Adam received his B.S. in Finance from Pennsylvania State University, his M.B.A from Empire State College and is a member of the Institute of Internal Auditors (“IIA”).
Jason P. Wallace
Jason brings a significant amount of both health care legal and compliance experience to his role, having served as National Compliance Director and Regulatory Counsel for the largest emergency medical services provider in the world and having previously provided compliance and in-house legal counsel services to leading regional healthcare organizations. His experience includes leading the development of enterprise-wide multi-state compliance programs, guiding healthcare organizations during government audits and investigations, conducting regulatory due diligence of target organizations, conducting compliance risk assessments, assessing the effectiveness of compliance programs, and assisting organizations implement key elements of the Compliance Office of the Future.
Mike Visconti
Mike is a Director in PwC's Risk Assurance Internal Audit Services practice with 10 years of experience providing advisory services related to internal audit, risk management and compliance. During his career working in the Washington DC and New York Metro markets, Mike has managed numerous internal audit engagements, conducted risk assessments and provided consulting services associated with internal audit and compliance program implementations/transformations. In addition, Mike has delivered internal audit and compliance strategic assessments and leading practices reviews for clients.
Mike regularly meets with key internal audit and compliance stakeholders (e.g., Chief Audit Executive, Compliance/Privacy Officers, Chief Financial Officer, Audit Committee Chair, General Counsel) to discuss leading practices and transformation opportunities to create a value added internal audit function that is strategically aligned with organizational goals.
Mike received his B.A. in Business Management from Loyola University of Maryland, is a member of the Institute of Internal Auditors (“IIA”) and is a Certified Internal Auditor (“CIA”).
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Lauren Hooley,
Lauren is a senior associate in the New York Metro Assurance practice. She has five years of higher education and healthcare experience. Her experience includes performing financial statement audits for both private and public clients, risk assessments, external quality assessments and internal controls testing for clients in the payor, provider, higher education, and financial sectors. Lauren graduated magna cum laude from Boston College's undergraduate program, and earned a Master's of Science in Accountancy (MSA) from Boston College's graduate program. Lauren is also a Certified Public Accountant.
*Please note: Lunch is between 11:30am and 12:30pm*
Luncheon Workshop: 12:30pm – 1:30pm (1CPE)
Risk Governance and Culture
Panelists: Roseanne Farley, EY Senior Advisor and Christina Ostran, EY Senior Manager
Regulatory expectations are increasing vis-vis internal audit’s role in effective risk governance and evaluating organization’s risk culture.
Join EY for an interactive luncheon panel discussion focusing on current industry expectations for audit’s role in risk governance and culture. The discussion will include: • Current regulatory expectations concerning risk governance frameworks • What does risk culture mean and why should internal audit evaluate it • The relationship between risk governance and culture • Approaches to audit coverage of risk governance and culture
Speakers Roseanne Farley and Christina Ostran will share their insights on current industry practices concerning risk governance and culture.
Roseanne Farley
Roseanne joined EY in 2013 as a Senior Advisor in the Internal Audit practice after 21 years at the Federal Reserve Bank of New York. Roseanne was an officer in Operational Risk in the Financial Institution Supervision Group and managed a team reviewing audit practices at domestic and foreign institutions. Roseanne played a lead role in the development of recent Federal Reserve guidance on internal audit - “SR/ CA 13-1 – “Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing.” Roseanne advises EY clients on internal audit best practices including audit methodologies, current regulatory expectations, and ongoing changes to internal audit practices. During her career at the Federal Reserve, Roseanne regularly advised staff reviewing audit and accounting at major financial institutions on current best practice. She was also involved in International training on risk management and internal controls and spoke at various industry conferences on audit issues.
Prior to joining the Federal Reserve, Roseanne worked in public accounting and in controllership functions for several financial institutions. Roseanne has more than 38 years of experience in accounting and audit relating to financial services firms. Roseanne is a Certified Public Accountant and a Certified Fraud Examiner.
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Christina Ostran
Christina is a Senior Manager in Ernst & Young LLP’s (EY) Financial Services Office (FSO) Advisory Process and Controls Practice which provides clients with internal audit assistance, risk and controls improvement as well as assistance with process and controls related initiatives. Christina has over 8 years of experience in the financial services industry serving banking, broker- dealer and asset management clients. In her current role, Christina leads teams in the execution of internal audits, risk assessments and external quality assessment reviews (QAR). Christina was an instrumental team member in the establishment of a robust internal audit function at a Federal Deposit Insurance Corporation (FDIC) regulated regional bank. Her role on this engagement included leading a team of 10 auditors. Christina was responsible for the development of the audit universe, development of the risk assessment methodology, meeting with all key areas across the bank, finalizing the risk assessment and developing the internal audit plan. Further, Christina was responsible for the development of the Sarbanes–Oxley Act (SOX) methodology and final review of all SOX testing. Christina is responsible for all aspects related to project management and consistently attends meetings with bank management and committees.
Christina has led multiple engagements at both Office of the Comptroller of the Currency (OCC) and Federal Reserve Bank (FRB) regulated institutions in Matters Requiring Attention (MRA) and Matters Requiring Immediate Attention (MRIA) remediation. These efforts also included efforts to comply with Institute of Internal Auditors (IIA) International Professional Practices Framework (IPPF), OCC-Strong, OCC Heightened Standards, FRB-13.1 and Basel guidance. Prior to joining EY, Christina worked in Assurance for Financial Services alternative investment clients. While completing her graduate degree, Christina worked as a Financial Analyst at a Global Technology Company.
Christina holds a Bachelors of Business Administration (BBA) in Public Accounting and a dual Masters of Business Administration (MBA) in Financial Management and Public Accounting from Pace University, New York. Christina is a licensed Certified Public Accountant (CPA) in the state of New York and an Associate Professional Risk Manager (APRM). Christina currently serves as a Director on the Lubin School of Business Alumni Association Board of Directors at Pace University. Christina is a member of the Institute of Internal Auditors (IIA). She serves as co- chair of multiple committees of the New York Chapter of the Institute of Internal Auditors (NYIIA).
PM: 1:30pm – 4:30PM (3 CPE)
Presentation Topics: 1. Session 1: Management Responsibility for the System of Internal Controls and
Promoting Corporate Culture
2. Session 2: Game Changing Impact: Moving from assurance to influence
3. Session 3: Managing 3rd Party Risks
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Presented by: Experis
Session 1 Management Responsibility for the System of Internal Controls and Promoting Corporate Culture
Description:
In response to on-going regulatory and shareholder expectations Internal Audit can play a critical role in educating management as to their ownership and responsibility for the systems of internal controls. This includes guidance relating to integration of the performance and documentation of testing of internal control related activities to meet the objectives of SOX compliance and COSO 2013. In addition the speakers will discuss tools and techniques to evaluate corporate culture relating to internal controls and the Three Lines of Defense. Learning Objectives:
• Provide background and perspective on the underlying regulations and expectations • Discuss lessons learned from the implementation of COSO 2013 and the 2015 PCAOB Inspection
Process • Sharing practical recommendations to assist management in improving documentation • Review the role of the Audit Committee in evaluating management effectiveness • Share insights into the emerging topic of assessing corporate culture.
Session 2 - Game Changing Impact: Moving from assurance to influence
Description:
The IIA’s 2016 North American Pulse of Internal Audit survey highlights a significant gap between the importance of and performance relative to interpersonal skills, including leading through influence, expressing ideas clearly, managing conflict, and balancing diplomacy with assertiveness. This session will introduce proven, high-impact influence and communication frameworks to address these challenges. Specific internal audit examples and case studies along with a workshop activity will enable participants to immediately apply and practice these tools. As expectations increase from Internal Audit’s business partners, individuals and teams need to expand their influence in order to drive greater impact on the business. Learning Objectives: After this session, participants will be able to:
• Describe the emerging expectations of internal audit stakeholders regarding the development of non-technical skills
• Leverage a framework for analyzing and increasing influence in business relationships • Apply the influence framework to assess the level of ownership of risk management, compliance and
control activities across the first line of defense • Align the auditor’s orientation with that of their business partners and utilize a communication
framework to reduce conflict and enhance receptivity of key messages
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Session 3 - Managing 3rd Party Risks
Organizations frequently rely upon 3rd party service providers to deliver a wide variety of services and other activities. While such arrangements may result in activities being outsourced in their entirety, they do not relieve the ‘hiring’ organizations of the responsibility for managing the activities and identifying/controlling the risks associated with the relationships.
Learning Objectives: • Gain an understanding of the potential risks that may arise from the use of 3rd party service providers.
• Identify the basic elements of an effective 3rd party risk management program.
Alec Arons - National Practice Leader, Risk Advisory Services, Experis Finance • Alec is the National Practice Leader for Risk Advisory Services. He has over 30 years of experience
working both in industry and providing professional services relating to Internal Audit and Corporate Governance. He has expertise in successfully aligning internal audit, enterprise risk management and business operations for Fortune 250 as well as small to mid-size companies.
• He has been recognized for the depth of his experience in working with boards and management to improve overall understanding of corporate governance and enhanced communication with the internal audit function. He has worked with internal audit functions to implement new risk assessment and strategic planning frameworks in order to enhance the effectiveness of the function.
• He is often sought out by clients for his practical insights and his experience in developing pragmatic solutions to complex business challenges. He also enjoys mentoring newly appointed Chief Audit Executives and high potential candidates.
• Alec is a national subject matter expert for Experis on internal audit transformation and COSO 2013. • Alec has been a speaker for the AICPA and The Philadelphia, Phoenix, Cleveland, New York,
Westchester – Fairfield, and Lehigh Valley Chapters of the Institute of Internal Auditors. • He is a CPA, MBA and a member of the IIA. He has his undergraduate degree from Dickinson College
and his MBA from Rutgers University. • Alec is the immediate past president of the Philadelphia Chapter of the IIA.
Bill Gienke – Director, Financial Services
Bill Gienke leads Experis Finance’s Financial Services Industry National Practice using a collaborative approach that balances demand generation, talent management and high-quality service delivery. Since taking on this role, the FSI practice has grown to represents over 40% of Experis Finance’s revenues and has consistently served: • At least fifteen of the top twenty largest United States Bank Holding Companies
• Over 200 regional and community banks
• Several of the largest money transfer and payment companies
• Multiple credit card issuers, debt collection firms, and other non-bank financial firms
• Most of the leading the financial service technology providers and five of the top ten property and casualty insurers along with many leading life insurance providers
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Bill has recently led multiple engagements assisting financial services industry clients to complete Consumer Protection risk assessments and prepare for CFPB examinations. He led an engagement team using Consumer Financial Protection Bureau (CFPB) guidance to design and execute an enterprise-wide assessment of risk of harm to the consumer and build and deploy key Compliance Management System (CMS) components for a global money services business. In addition, Bill designed, piloted and deployed a monitoring approach that enabled a top ten debt collection firm to evaluate their partner law firms’ compliance with CFPB guidance.
Bill also oversees the monitoring of new and emerging legislation, regulations and trends aimed at creating relevant and timely guidance for Experis Finance clients. He routinely presents at national conferences, Experis webcasts and executive briefings custom designed for specific clients. Bill’s 20+ years of experience demonstrate a unique ability to design and facilitate change based on systemic, evidence-based insights and analysis that delivers improved organizational performance. Prior to joining Experis, Bill worked as a consultant for Arthur Andersen and in industry. Tom Diminich
Tom is a Director in the Experis Finance Information Technology Risk Advisory Services practice. Tom has over 30 years of Information Systems and Information Security auditing and consulting experience with extensive industry and technology domain experience. He has experience leveraging the COBIT 5 framework, including COBIT 5 for Information Security and the ITIL (IT Information Library) IT processes framework. Tom has been responsible for Sarbanes-Oxley IT documentation and testing projects, including SOX Controls Optimization, the delivery of Quality Assurance Review Services, Business Continuity Management Services and Payment Card Industry Data Security Standards (PCI DSS) projects. He has delivered IT Governance and Data Classification services and provided project management services for these engagements. Tom has experience as a senior consulting manager in a variety of industries ranging from financial services, pharmaceuticals, universities and university medical centers, defense manufacturing and the federal government. Tom has a B.S. from Cornell University and passed the CISA exam in 1990.
Register Here
Website Registration - http://www.cvent.com/d/rfq1s8/4W
Mobile Registration - http://www.cvent.com/d/rfq1s8/4W?dvce=2
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Join us back where it all began, New York City, for The IIA’s International Conference, July 17–20, 2016. Celebrate The IIA’s 75th Anniversary and embark on an educational journey rich with insights for internal auditors at every level, including one full track in Spanish.
Ten Educational Tracks:
• Influential Leadership: A View From The Top • Emerging Practices: Staying a Step Ahead • Building the Structure Through Ethics, Governance, and Compliance • Financial Services: Heightened Expectations • Deconstructing Today’s Fraud for Tomorrow’s Controls • IT: Elevating the Business Experience • Rising to the Challenge in the Public Sector • Soaring Above Risk and Exposure (Select Industries) • Spanish Track: Tendencias de Auditoría Interna, Desafíos y Soluciones (Internal
Audit Trends, Issues, and Solutions) • The IIA’s CIA Learning System® Review
• Network with 2,000+ peers from more than 100 countries, stay on the leading edge of internal auditing, and enjoy the sights and top attractions that New York City has to offer.
Click the following for IIA International Conference Registration link and more information ---- 2016 IIA International Conference registration
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General Auditors Roundtable IIA NYC CHAPTER AUDIT DIRECTORS’ ROUNDTABLE
Hosted by Paulette Mullings-Bradnock - BNY Mellon
If you are a CAE and are not receiving emails on these events, contact EVP – Alex Cacanando at [email protected]
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Manager/Directors’ Roundtable
Calling all interested Audit Manager/Directors to
participate.
Committee goals
Roundtable discussions with mid-level audit staff to discuss
relevant and timely topics Hold four Roundtables meetings Invite guests to speak on topics of interest at some of these
roundtables
Please look for additional announcements on the chapter website.
For more information contact EVP - Alex Cacanando at [email protected]
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MEMBER NEWS
IT’S HERE – THE NY CHAPTER IIA APP FOR IOS AND ANDROID DEVICES AND THROUGH GOOGLE
PLAY!!!!!!!!!!! NOW YOU CAN ACCESS ALL NEW YORK IIA CHAPTER INFORMATION ON YOUR HANDHELD DEVICES. JUST DOWNLOAD THE APP BY SEARCHING FOR THE “NEW YORK IIA”. LINKS ARE PROVIDED BELOW FOR YOUR REFERENCE. YOU CAN FIND INFORMATION RELATED TO: 1. WORKSHOPS 2. TRAINING AND EVENTS 3. JOB POSTINGS 4. ARTICLES 5. NEWSLETTERS
https://itunes.apple.com/us/app/new-york-iia/id1083422085?mt=8
https://play.google.com/store/apps/details?id=com.goodbarber.iianychapter&hl=en
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IIA ARTICLES AND REPORTS
Available now on the IIA website are the following:
**The 2016 North American Pulse of Internal Audit Now Available** The 2016 North American report shows that organizations may be neglecting to address areas such as organizational culture, cyber resiliency, use of data, and development of soft skills, and encourages auditors to move out of their comfort zones. Download the report here: http://bit.ly/PulseIA2016
**Global Perspectives and Insights ‒ Auditing Culture: A Hard Look at the Soft Stuff** Internal auditors have audited soft controls and tone at the top, but it is time to take responsibility for auditing culture. This new report looks at understanding the Three Lines of Defense model as it relates to auditing culture, emphasizes the importance of incorporating culture in every audit engagement, and discusses how the profession can positively affect this issue. Download the report here: http://bit.ly/IIAGeopolitics **New IIARF Bookstore Release Provides Reference Tools for Updating Internal Audit Resources** Essentials: World-class Tools for Building an Internal Audit Activity, 2nd Edition, has been updated with new samples users can choose, revise, blend, and customize to help build or refresh an organization’s internal audit foundational reference manuals. Available in CD/DVD format and from The IIA Research Foundation Bookstore here: http://bit.ly/IIARFEssentials2ndEdition
**Richard Chambers’ Latest Blog: Is Disruptive Innovation an “Uber” Risk for Internal Audit?** IIA President and CEO Richard Chambers states in his latest post: “On a recent trip to Paris, I arrived at the airport on the first day of a taxi strike protesting Uber, the rival upstart that has upended historical urban transportation services. With no taxi service available, I ended up taking the Metro from the airport to the station closest to my hotel. Suffice it to say, it was no treat trudging the last mile on city streets with luggage in tow, even in a city as beautiful as Paris.” Read the full blog post here: http://bit.ly/DisruptiveInnovationRisk
Thwarting the Insider Threat: How to Uncover Gaps in Physical Security How do you prevent a disgruntled employee from sabotaging your company’s operations, or stop a competitor from stealing intellectual property? Physical Penetration Testing provides an independent assessment of a company’s physical security program and its ability to detect and prevent unauthorized access by employees and third parties. Download “Preventing Sabotage and Theft: How Red Teams Can Uncover Gaps in Physical Security" to learn how to uncover physical security gaps within your company here: http://hubs.ly/H0272RQ0
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Employment Opportunities
If you are looking for a new opportunity, we currently have new job postings in our website https://chapters.theiia.org/new-york/Careers. The following are the companies offering Career Opportunities. Individuals or organizations interested in posting job opportunities should submit a condensed job description to our VP of Professional Services, Kathleen Rennert at [email protected]
Internship Opportunities If your organization is interested in hiring interns from a local school, please contact our EVP Alex Cacanando [email protected] Alex would be happy to connect you with our students.
• Atlas Air – Senior Auditor – Purchase, NY
• BNY Mellon – Senior Auditor – New York, NY • BNY Mellon – Audit Senior – New York, NY • Columbia University Medical Center – Internal Controls Specialist – New
York, NY
• Moody’s Corporation – Intermediate Internal Auditor
• Port Authority of NY and NJ – Senior Audit Supervisor – Jersey City, NJ
• Port Authority of NY and NJ – Audit Supervisor – Jersey City, NJ • Port Authority of NY and NJ – Senior Auditor – Jersey City, NJ
• Port Authority of NY and NJ – Staff Auditor – Jersey City, NJ • Port Authority of NY and NJ – IT Staff Auditor – Jersey City, NJ • Signature Bank – Senior IT Auditor – New York, NY • Telavance – IA Consultant – New York, NY
• TIAA CREF – Senior Audit Manager – New York, NY • TIAA CREF – Internal Audit Manager – New York, NY
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CERTIFICATION CORNER
In this section of the IIA NY chapter newsletter, we would like to highlight the
members of our chapter who have achieved new IIA certifications, news from our members and any other exciting events
IIA NY Chapter New Certified Members Congratulations to the following members who have completed the requirements for
the certifications listed during November 2015 to February 2016:
If you have any questions, please reach out to our Certification Committee Chair
Jennifer Morris at [email protected]
Kim Hai Tan Massimiliano Giamprini
Rajni Chawla
Priscilla ModrovNina Guidi
Imtiaz Chowdhury Scott Walter
Certified Internal Auditor (CIA) Certified Financial Services Auditor (CFSA)
Certification in Control Self-Assessment (CCSA)
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Certified Financial Services Auditor (CFSA)
Apply in April and Save Up to US$200!
For a limited time, April 1‒30, 2016, The IIA is waiving the application fee (up to a US$200 value) for the CFSA designation.*
*This offer applies only to the CFSA application fee. This offer may not apply in countries where exams are administered through institutes with certain agreements. Please contact your local institute to verify if the offer is valid in your country. Excludes exam registrations.
CFSA: Provide Focus on Your Journey As the demand for top talent and acumen in the financial services industry rises, there is no better way to establish your credibility than with the Certified Financial Services Auditor (CFSA) designation. Earning your CFSA from The IIA can set you apart from peers.
Earning a professional credential from The IIA is the best way to demonstrate your commitment to advancing in this competitive niche and communicating your breadth of knowledge.
The CFSA is a valued specialty certification for audit professionals working in banking institutions, thrift/savings and loan organizations, credit unions, insurance companies, security and commodity services, holding and investment companies, credit agencies, financial services regulatory agencies, and other financial services organizations.
Six Steps to Certification If you need help getting started, refer to the six steps to certification an internal auditor should review when making the decision to become certified in the profession.
Quick Links • CFSA Eligibility Requirements • CFSA Exam Syllabus • Sample Exam Questions • CPE Requirements for CFSAs • CFSA Exam Preparation Resources
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Certified Internal Auditor Exam
Prepare to Pass The IIA's CIA Learning System® Are you looking for the best way to prepare for the Certified Internal Auditor® (CIA®) exam? The Institute of Internal Auditors’ CIA Learning System teaches the entire global CIA exam syllabus. Our study tools offer customization, convenience and mobility so you can make the most of your valuable study time. Begin your studies today!
• Choose the study option that best suits your schedule and study preferences.
• Create a customized SmartStudy™ plan based on your areas of strength and weakness. • Learn the entire global CIA exam syllabus in a concise and easy-to-understand format. • Travel light and access your reading materials via your e-reader device. • Study on-the-go with interactive online study tools that are optimized for your mobile
device.
Click here for more on The IIA CIA learning system. CIA learning For additional questions or inquiries, please reach out to the VP & Secretary – Jennifer Morris at [email protected]
The IIA is also offering discount as follows:
Certified Internal Auditor (CIA) Exam® Practice Questions
See link for further details: CIA Exam Practice Questions Discount
Order your copy today!
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Internal Audit Practitioner Designation Now Offered New and Rotational Auditors
To support new and rotational auditors as they begin a career or enter a new career phase in auditing, The IIA is pleased to announce the Internal Audit Practitioner designation.
This new designation provides recognition for those who have taken the first step toward CIA certification, which is taking and passing Part One of the Certified Internal Auditor® (CIA®) exam. Upon passing the exam part, candidates can submit an application to obtain the Internal Audit Practitioner designation through social badging.
For new auditors, obtaining the designation after passing Part One of the CIA exam demonstrates their knowledge and aptitude of internal audit basics, and they may choose to continue the path to full CIA certification by passing exam Parts Two and Three to establish a comprehensive internal audit foundation. For those navigating through a temporary or rotational role in auditing, the Internal Audit Practitioner designation provides fundamental knowledge to make the most of the experience and offers credibility within the field.
In addition, the Internal Audit Practitioner designation offers audit managers and executives a practical and effective way to build stronger teams by establishing a common foundation of basic auditing skills and knowledge for their entire auditing staff.
For more information, please visit the CIA webpage or click the following link
https://na.theiia.org/certification/CIA-Certification
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Information on CRMA Certification
Certification in Risk Management Assurance (CRMA)
Be a Key Advisor to the Audit Committee and Executive Management for Risk Management
Job analysis and stakeholder surveys have indicated a key element to unlocking internal audit’s full potential can be found in a professional’s ability to provide advice and assurance on risk management to audit committees and executive management. In response, The IIA developed the CRMA designation.
The standard CRMA Core Exam will be a 100-question, multiple-choice exam, with a seat time of two hours. These exams will be instantly scored like all of the other IIA exams, and will be administered at Pearson VUE testing centers around the world. All Certification in Risk Management Assurance® (CRMA®) eligibility requirements will apply.
The CRMA: Your Key to Career Success The CRMA is designed for internal auditors and risk management professionals with responsibility for and experience in providing risk assurance, governance processes, quality assurance, or control self-assessment (CSA). It demonstrates an individual’s ability to evaluate the dynamic components that comprise an organization’s governance and enterprise risk management program and provide advice and assurance around these issues.
The CRMA is one more mark of professional distinction for internal audit practitioners. Earning the CRMA will assist you in demonstrating your ability to:
-Provide assurance on core business processes in risk management and governance. -Educate management and the audit committee on risk and risk management concepts. -Focus on strategic organizational risks. -Add value for your organization.
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Juan PerezNew York Life Insurance Company
President
Executive Vice President
2015 – 2016 IIA NY Chapter Officers
Alex Cacanando
Protiviti 917-853-6369
Vice President of Professional
Development
Uday Gulvadi
Telavance646-359-3146
Vice President of
Professional Services
Kathleen Rennert Arch Capital Services Inc.
201-743-4066 [email protected]
Vice President & Secretary
Jennifer Morris
Iona College 914-633-2643 [email protected]
Matthew Meisel
Moodys 212-553-1630
Immediate Past President (2014-2015 Chapter Year)
Raquel Marin Oquendo
Columbia University Medical Center212-305-9622
Vice President & Treasurer
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Officer
CAP Reporting
Linda Tan & Aleksandra Terzano
Juan Perez President
Volunteers
Iryna Seagal & Clare Dempsey
Audit
Brian Mannix
Nominating
Raquel Marin-Oquendo
Student EventsLena Pertsovski & Walker
Poppert
Alex Cacanando Executive Vice
President
Academic Relations
2015 – 2016 IIA NY Chapter Committees
General Auditors’ Roundtables
Paulette Mullings-Bradnock
B&I and Special EventsStacey Guardino, Rich
Marinello, Manish Goswami & Steven Mezzio
Government Audit
ConferenceEllen Isaacs
Workshops
Jim McCabe, Walker Poppert, Ines Jansen & Christopher
Cariello
Uday Gulvadi
Vice President of Professional
Development
Long Range Planning
Paul Flora, Nick Dimola & Laura Lowenhaupt
Student Dinner
Lena Pertsovski & Walker Poppert
Manager/Director
RoundtableChristina Ostran, Chris Decker
& Ines Janssen
IAEPIA Education Partnership
Rachel Bond & Nick Dimola
Luncheons
Alex Cacanando
Committees
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Committees
Officer
NewsletterAlma Ceballos
Kathleen Rennert
Vice President Professional Services
2015 – 2016 IIA NY Chapter Committees
Group Subscriptions
William Morello
LinkedIn Andrew Goldberg
Social MediaChristina Faris
Jennifer Morris
Vice President & Secretary
Diversity
Christina Ostran
Social CommitteeCoryse Farris
Certifications Michael Fucilli
Membership TBD
Outreach
TBD
Awards Event
TBD
Budget & FinanceChristopher Cariello
Matthew Meisel Vice President &
Treasurer
History Richard Dapcic, Adam
Stumer
Website
AdministrationChristopher Cariello
Employment Advertising
Uday Gulvadi
If you are interested in volunteering, please contact the Volunteers Committee team, Iryna Seagal or Clare Dempsey @ [email protected] and [email protected]
