February 2013 AUDIT WIRE

President’s Message Fellow Members, I have just returned from the IIA International Conference in New York, where we celebrated the accomplishments of our profession spanning the past 75 years. Here in our local chapter, we also have a lot to celebrate. We currently support a membership base of nearly 2500 professionals and consistently offer approximately 120 hours of CPEs each year. We continue to support the future of internal audit through contributions to local Universities and Student Associations. Additionally, we strive to bring engaging seminar topics to our members in order to ensure that we stay abreast of emerging risks and increase our relevance as professionals. Speaking specifically to emerging risks and relevance, according to The IIA’s 2016 North American Pulse of Internal Audit report, one obstacle internal audit departments are facing is the lack of cybersecurity expertise among internal audit staff. To help us further facilitate growth in this area, this month’s luncheon topic will be focused on Cybersecurity. In addition, if you have the opportunity, I highly recommend you review the IIA’s Global Perspectives and Insights report as they recently released a thought-leadership series on “Internal Audit as a Trusted Cyber Advisor” (available through the members-only section of TheIIA.org). Beyond luncheons and seminars, we have also been working diligently on planning other activities for this new chapter year. Here are a few of the highlights to look forward to in the coming months. Currently in progress, is a project that will deliver an electronic format of the monthly Newsletter. Migration to the new format will begin in September. We are also working to complete the 2015 – 2016 Chapter Annual Report. And last, but not least, we are planning a 75th anniversary celebration of our very own. ~Stay tuned for more details on these, as well as other events on the horizon. Looking forward to seeing you at the August Luncheon! Until then, Jamie DuBray Houston Chapter President President@houstoniia.org

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AUDIT WIRE MON THLY

INSIGHTS

President’s Message

1

Luncheon and Registration

2-4

Houston Astros & Professional Development Forum

5

New Members 6

Call for Speakers

7

Exam Registration & Program Extensions

8

CIA Exam Fee Waiver & Membership Survey

9

CIA Review Courses

10

University of Houston

11

CAP Update 12

Job Postings 13-14

February 2013 AUDIT WIRE

The monthly luncheon meetings are held at the Petroleum Club.

This great downtown venue is located at 1201 Louisiana St. on the top floor of the downtown Total building. The seated plate lunch begins at 11:30, with the program beginning at noon. Both public and valet parking are available. Please note valet parking is cash only.

Please note online registration is open until 9:00AM the day of the event, and as a result walk-in registration is no longer active.

Please note the Houston IIA Chapter has a new PO box: PO Box 420317 Houston, TX 77242-0317

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Luncheon Topics and Speaker Information

I IA HOUSTON CHA PT ER

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PRESIDENT Jamie DuBray Chevron VP ADMINISTRATION Wilson Van Tine Phillips 66 VP FINANCE Rowen Chen Calpine VP COMMUNICATIONS John Wong Deloitte VP ACADEMIC RELATIONS Jay Qatato Calpine VP TECHNOLOGY Mary Hall CanCare of Houston, Inc. VP SEMINARS Greg Bone Marathon Oil VP MEMBERSHIP Matthew Marcinek RSM SECRETARY Radha Ahya Plains All American NEWSLETTER EDITORS Jamie Dugas Deloitte Jenny Meyers Deloitte John Wong Deloitte

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Pricing: Early IIA Member: $30

Non-Member and Regular Registration IIA Member: $40 Valet Parking Available: $15 (Cash Only)

Upcoming Topics and Speakers

Date Topic(s) Speaker(s)

August 1 Cyber Security Trends for Today’s Organizations

September 12 Full Day Seminar: Critical Thinking: An Essential Skill for Internal Audit Success Luncheon: Internal Audit Innovation & Change

Stephen Mount, Steve Luu, Huy Vo

Phil Flora

February 2013 AUDIT WIRE

When: August 1, 2016 Speaker: Stephen Mount, Security and Technology Risk Services (STRS) Practice Area Director, Slalom Consulting Stephen Mount is a Director in Slalom’s Houston office leading the Security & Technology Risk Services (STRS) team as well as supporting the delivery of the full catalogue of technology enablement services to our clients. In his role, he specializes in assisting clients, ranging in size from Fortune 50s to startups, with developing and implementing enterprise level cyber security strategies and risk management capabilities. Speaker: Steve Luu, Security and Technology Risk Services (STRS) Solution Principal, Slalom Consulting Steve is a Solution Principal for Slalom Consulting, a leading consulting firm that delivers award-winning solutions in areas such as information management and analytics, sales and marketing, security & technology risk services, organizational effectiveness, mobility, and cloud through a national network of local offices and major alliance partners, including Microsoft, Salesforce.com, and Amazon Web Services. Speaker: Huy Vo, Security and Technology Risk Services (STRS) Consultant, Slalom Consulting Huy Vo is a Houston-based consultant with over nine years of experience in IT audit, information security, systems integrity, and systems implementation, working in various industries including Retail, Food & Beverage, Wholesale Distribution, Chemicals, and Energy. Luncheon Topic: Cyber Security Trends for Today’s Organizations Learning Objectives: • Cloud security considerations and how to apply a security framework for your

organization’s environment. • Understand the difference between ISO versus NIST and what framework best fits your

organization’s needs. • Learn about types of insider threats with mergers and acquisitions transactions, and the

type of controls that should be in place. • Understanding third party risk and learn tips for effectively auditing third party vendors. Experience Level: Basic/Intermediate

Prerequisite: None

CPE Credit(s): 1 hour

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August Luncheon Topic & Speakers

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February 2013 AUDIT WIRE

When: September 12, 2016 Speaker: Philip E. Flora, CIA, CISA, CFE, CCSA Phil is the Principal/Managing Member for FloBiz & Associates, LLC, member of the YCN Group, IIA Training Consultant and former Director Internal Audit Training for CPE Interactive. Phil was the Chief Audit Executive (CAE) at a not-for-profit public corporation for over 16 years. Phil’s experience includes banking, public accounting and cost accounting. He also has over 30 years of auditing/management experience.

Lunch Topic: Internal Audit Innovation & Change Time: 11:15 am to 1:00 pm

Summary of Topic: A constant challenge for internal auditors (IA) is identifying and performing audit activities in the organizations highest risk areas with limited resources. In this session we will review why innovation and creativity should be important to IA and its primary stakeholders. We will also identify potential areas that provide the greatest opportunity for change and discuss how IA can become a better change agent. Learning Objectives: • Learn the difference between innovation and creativity • Identify why and how IA must change to help the organizations better meet its risk management, governance

and control objectives • Learn/understand how to become a change agent that takes/promotes action to help IA and the organization

demonstrate continuous improvement for greater success • Highlight areas that may be most ready for change and why IA may be reluctant to change

Experience Level: Basic

Prerequisite: None

CPE Credit(s): 1 hour (Lunch Presentation) Seminar Topic: Critical Thinking: An Essential Skill for Internal Audit Success Time: 8:30 to 11:15 am and 1:30 to 4:30 pm Summary of Topic: Attend this training to learn/reinforce important audit skills, tools and techniques to facilitate the performance of value-add audits that are risk-based . Critical thinking, professional judgment auditor skepticism & objectivity are essential for success. The session will include audit tools and techniques to provide attendees with approaches to guide their use of critical thinking skills to assist in gathering of evidence and the audit process. Learning Objectives: • Review the basics of risk-based auditing from risk assessments & audit planning to • engagements (High-level) • Discuss audit evidence, professional judgment, auditor skepticism and tools/techniques used to gather

information (High-level) • Review critical thinking (CT) and professional judgment as used to facilitate the gathering of information/

evidence to support the audit process/results/conclusions (High-level) • Learn about how following CT can reduce the impact of personal bias

Experience Level: Basic/Intermediate

Prerequisite: None

CPE Credit(s): 6 hours (Seminar excluding Lunch Presentation)

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September Luncheon, Seminar & Speaker

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February 2013 AUDIT WIRE

Houston Astros Network Event

Save the Date: 3rd Annual Houston Astros Network Event

Astros vs. Rangers - Chase for the Silver Boot Series Come mingle at this Houston IIA member’s only event and watch your Houston Astros make their charge into the Post Season. When? September 14, 2016 @ 6PM to 10 PM; first pitch at 7:10PM Who? Houston IIA Members Exclusively. Due to the success of the past two year’s events, we have purchased additional seats, 75 total. These events have sold out previously, so buy your tickets early. Where? Mazda Club Level @ Minute Maid Park; 501 Crawford Street Why? This event will present an opportunity to mingle with your fellow IIA members and enjoy the Houston Astros. Cost? The IIA has a discounted rate of $25. This is a fantastic rate for a game that is likely to weigh heavily on the Astros chance to make the postseason. Register here! http://www.etouches.com/ehome/192594 If you have additional questions, suggestions, or comments, please contact Matthew Marcinek, VP of Membership at Matthew.Marcinek@rsmus.com

Professional Development Forum

Save the Date: September 21, 2016 The Houston IIA will be hosting a "Professional Development Forum" in the morning of Wednesday, September 21st. You will learn about “developing your brand” and the impact it can have on career opportunities in internal audit. 1.5 Hours of CPE will be awarded. FREE professional portraits will be provided to attendees so please come dressed in business professional attire. Registration for this event will be open in Mid-August with additional details to follow.

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Houston Astros & Professional Development Forum

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February 2013 AUDIT WIRE

Welcome to our New Members!

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New IIA Members

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We would like to extend a warm welcome to our new members! If you see these people at the monthly luncheon, please be sure to

introduce yourself!

Please ensure your member profile is updated by visiting www.theiia.org in order to continue receiving Houston Chapter announcements and

communications.

Carol Barnes (Texas Health and Human Services Commission) Catherine Delain (ExxonMobil Corporation)

Chad Sandberg (Chevron) Dylan Mace (Kinder Morgan)

Jacob Kovalcik (Chevron) Joel Jacobs (Chevron)

Joseph Tumang (Live Nation Entertainment) Kiran Movva (Chevron)

Meridith Sanders (City of Houston) Michael Schimpf (CEVA Logistics)

Mohammad Said (Kelstadt School of Business) Olivia Park (Chevron)

Pooja Gupta (PricewaterhouseCoopers LLP Houston)

February 2013 AUDIT WIRE

Call for Speakers April 2017

The Houston Chapter’s Seventh Annual Conference will be held on Monday, April 3, 2017 at NRG Stadium. We are currently accepting nominations for concurrent session speakers. The session tracks are Audit Leadership, Internal Audit Best Practices, IT, Fraud, and Current Hot Topics. If you would like to be considered as a speaker for one of these sessions, please submit the following to Lynne Renshaw, Conference Program Chair, at Lynne.Renshaw@BristowGroup.com:

• An overview of your session topic including bullet points on what the participants will learn (75-150 words)

• A brief bio to be used in the conference program (100 word max) • A color photo to be used in the conference program • A summary of your speaker credentials and experience (300 word max)

Please note that submission does not guarantee inclusion in the conference program and any incomplete submissions will not be considered. The deadline for submissions is September 16, 2016. Thank you so much for your interest, and we look forward to seeing everyone at the conference.

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Call for Annual Conference Speakers

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February 2013 AUDIT WIRE

CIA, CCSA, CFSA, CGAP, or CRMA

Certification candidates who are nearing the end of their four-year program eligibility window now have an opportunity to apply for an extension before their exam part(s) expire. This extension allows participating candidates who haven’t yet successfully completed their exam(s), or who have been accepted into the program but have not yet taken their exam(s), an opportunity to extend their program eligibility 12 months. Candidates who have entered one of The IIA’s certification programs (CIA, CCSA, CFSA, CGAP, or CRMA) initially have four years to complete their exam(s) and earn their certification. Candidates may take advantage of The IIA’s new one-time Certification Candidate Program Extension at a cost of $250 USD per applicant. This applies to all IIA certifications. Candidates also may extend their exam window with an Exam Registration Extension. This extension allows additional 30, 60, or 90 days to take an exam when a part has not been scheduled or after an initial appointment is cancelled. The 30, 60, or 90 day extension is available for all examinations for CIA, CCSA, CFSA, CGAP, and CRMA. A deferment is available for the QIAL. Any questions about Certification, please contact Lisa Arroyas, Certification Chair, Lisa.Arroyas@AmericanNational.com or Matthew Marcinek, VP Membership, Mathew.Marcinek@rsmus.com

Exam Registration Extension Candidates also may extend their exam window with an Exam Registration Extension. This extension allows an additional 30, 60, or 90 days to take an exam when a part has not been scheduled or after an initial appointment is cancelled. The 30, 60, or 90 day extension is available for all examinations for CIA, CCSA, CFSA, CGAP, and CRMA.

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Exam Registration and Program Extensions

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February 2013 AUDIT WIRE

CIA APPLICATION FEE WAIVER in August Coming in August 2016, the IIA is waiving the application fee (up to US $200 value) for the Certified Internal Auditor (CIA).* The CIA designation is the only globally accepted certification for internal auditors and remains the standard by which individuals demonstrate their professionalism in the internal audit field. 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. According to the IIA’s 2015 Internal Audit Compensation Study, professionals with the CIA designation demonstrated a 43% higher salary. Apply between August 1 and 30 to qualify. Any questions about the CIA or Certification, please contact Lisa Arroyas, Certification Chair, Lisa.Arroyas@americannational.com or Matthew Marcinek, VP Membership, Mathew.Marcinek@rsmus.com *This offer applies only to the CIA application fees. It also excludes exam registration.

Membership Survey

Thank you to all who completed our membership survey. If you have not done so, the survey closes on July 31st. Your feedback is extremely valuable and we will be using it to improve our service offerings and member benefits. As a thank you, we will have a random drawing for two gift cards. If you have additional questions, suggestions or comments, please contact Mat­thew Marcinek, VP of Membership at Matthew.Marcinek@rsmus.com Thank you for being a Member of the Houston IIA!

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CIA Application Fee Waiver & Membership Survey

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February 2013 AUDIT WIRE

Prepare to Pass the CIA Exam

If you’ve made the decision to enhance your career by earning the Certified Internal Auditor® (CIA®) designation, the Houston Chapter can help you achieve your goals with The IIA’s CIA Learning System™. The IIA’s CIA Learning System is an interactive print and online self-study review program designed by CIA-certified industry experts to help you learn, review, and apply the key CIA content. This approach will help you build on foundational elements of internal auditing and master key concepts needed to pass the CIA exam. This program includes: • Comprehensive print materials teaching the entire global CIA exam

syllabus • Interactive online resources:

• Pre- and post-tests to gauge your starting knowledge and advancements • Section quizzes to test your comprehension and retention • Flashcards and glossary • CIA practice exam to build confidence for the computer-based CIA exam

For more information or to try a demo, visit www.LearnCIA.com/overview. Wondering how long it will take you to prepare for the exam? Create your free, personalized study plan at www.LearnCIA.com/my-cia-review-plan.

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CIA Review Courses

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February 2013 AUDIT WIRE

Internal Audit Student Association (IASA) - Updates!

August, 2016 UH-IASA is preparing for upcoming fall semester events! These events are designed to inform students about Internal Audit as a career choice, and will offer great opportunities for students at the undergraduate and graduate levels to learn what else being an accountant has to offer.

Meet the Internal Auditor (MIA)

Internal auditor teams/management speak about their experiences, education, what brought them into Internal Audit, etc.

Meet the Firms (MTF) Accounting (including tax, audit, assurance) firms share their firm’s background, hiring /recruitment opportunities, internship experiences.

Career Mixer An event consisting of 15-20 different companies/teams/firms to have a free flowing one-on-one dialogue to expose students to networking opportunities.

Career Panel Accountants from different positions/companies/industries are invited to share a broader view of career paths in a panel-style forum.

Professional Development Workshops An interactive way for students to meet with HR, hiring managers, or seniors, and be educated on writing resumes, interviewing, and more! In addition, IASA and the Accounting Society are planning to host a general accounting career panel, open to ALL majors. There will be 4 speakers from 1) Internal Audit, 2) Forensics, 3) CPA firm (audit/tax), and 4) Industry (something aside from O&G). Events will take place at the University of Houston on Monday and Wednesday of every week.

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University of Houston IASA Update

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February 2013 AUDIT WIRE

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Chapter Achievement Points (CAP)! CAP Points Update

One of the ways we gauge our success as a Chapter is through the Chapter Achievement Program (CAP). CAP points are earned for our accomplishments in three areas:

• Service to Members • Service to the Profession • Chapter Administration

The Houston Chapter has achieved Platinum status for the past eight years by reaching the IIA’s established point goals and we have done it again for the 2015-2016 chapter year! We achieved platinum status for the ninth year in a row! Thanks in large part to our members’ great participation at the luncheons and recently at our Annual Conference. In addition to the conference and luncheons, we have also received help earning points from members who throughout the year donated their time to the profession. We would like to recognize and thank our Houston Chapter members who have contributed to our points this past chapter year as of May 31, 2016. Thank you to the members listed below for giving back to the profession and submitting your activities to help earn points:

If you perform any of the applicable service to profession activities during our new chapter year (June 1, 2016 – May 31, 2017), we would love to hear from you. Please submit activities to capadministrator@houstoniia.org. For more information, see the CAP section of our website. Thanks for your help! Connie Khawaja Former President and CAP Administrator

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Points by Member

Member Total Points

Earned Total

Activities Jay Qatato 16 6 Julie Lathrop 13 3 Marla Walther 10 1 Kevin McMahon 5 1 Jamie DuBray 4.5 4 Rick Hamel 4 2 Blanche D'Souza 3 1 Luis Blanco 3 1 Rumy Jaleel-Khan 3 1 Kevin Halim 3 1 Cameron Nessmith 3 1 Rowen Chen 3 1 Josh Wood 3 1 Wendi Stout 1 1 Marshall Craven 1 1 Melissa Frazier 1 1

Total Points 76.5 27

February 2013 AUDIT WIRE

LOCATION: Houston, Texas DEPARTMENT: Internal Audit

JOB DESCRIPTION: Houston Methodist is seeking a qualified Senior Internal Auditor to join our recognized and engaged internal audit team. Houston Methodist is located in the heart of the world-renowned Texas Medical Center, is a nonprofit, faith-based, health care organization based in Houston, Texas. With over 20,000 employees and net revenue exceeding $3.4 billion, Houston Methodist is comprised of 8 hospitals, a prominent Research Institute and two growing physician organizations. Methodist is consistently ranked among the country’s top hospitals in the U.S. News and World Report’s annual guide to "America’s Best Hospitals" and is ranked No. 1 in the Houston area in the magazine's Best Metro Area Hospitals list.

Our internal audit department is comprised of 11 professionals, who provide quantifiable, value-added assurance and consulting services by providing an independent appraisal of the organization’s risks and controls. This mature internal audit department was awarded The Institute of Internal Auditor’s Recognition of Commitment Award, has received the AHIA Institutional Award, and also received the top-ranking during their last IIA’s Quality Assurance Review. In addition, the internal audit department has a demonstrated track record of providing professional growth and career development – several of our auditors have advanced into management and operational roles across Houston Methodist.

JOB RESPONSIBILITIES: The Senior Internal Auditor is primarily responsible for planning, coordinating, and executing operational, financial, and compliance reviews of Methodist entities.

JOB QUALIFICATIONS: The successful candidate should have a minimum of 5 years prior relevant business experience, preferably in a complex healthcare environment. Experience in data analysis tools such as ACL is preferred, as well as experience in MS Office suite and Teammate is a plus. The candidate should possess excellent communication and interpersonal relationship skills, and reflect our core ICARE values (Integrity, Compassion, Accountability, Respect, and Excellence). Relevant professional certification is required, CPA or CIA preferred. Some local travel is required. We offer a competitive salary and benefits package.

CLOSING DATE: Until filled

TO APPLY: Please apply at the following: https://www.houstonmethodistcareers.org/job/22931/sr-internal-auditor/

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Houston Methodist - Senior Internal Auditor

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February 2013 AUDIT WIRE

LOCATION: The Woodlands, Texas DEPARTMENT: Internal Audit JOB DESCRIPTION: • Advanced knowledge of IT practices, network and application vulnerability assessment, change control,

business continuity, data privacy and risk assessment practices. • Varied audit experience at key layers of IT such as applications, databases and operating systems. • Strong technology skills including strong/intermediate proficiency with Microsoft Office and database

applications (Access, SQL). • Strong project management and organization skills with high attention to detail. • Inquisitive, critical thinker with business risk awareness, professional skepticism, and sound judgment. • Ability to research, assimilate information from both IT and business functions, apply strong problem

solving and analytical skills, and influence issue resolution. • Excellent written and verbal communication, interviewing, and presentation skills. • Ability to work cooperatively and collaboratively with all levels of employees. • Ability to manage multiple responsibilities and projects. • Strong interpersonal skills; ability to build consensus across diverse teams and achieve results through

the effort of others. • Working knowledge of industry recognized auditing standards, such as Institute of Internal Auditors (IIA)

Standards and Guidelines and ISACA IS Audit and Assurance Standards and Guidelines. • Up to 10% travel expected. • No supervisory responsibility. MINIMUM QUALIFICATIONS/EXPERIENCE: • 4-6 years in either IT auditing or information technology role with significant exposure to internal

controls and risk assessment practices. • Strong experience with data mining tools such as ACL, IDEA, SQL or MS Access. • Experience in performing IT audits in a lead role preferred. • Experience with such technologies as virtualization, replication, multi-factor authentication,

vulnerability scanners, SQL and .net applications preferred. FORMAL EDUCATION & CERTIFICATION: • Bachelor’s degree in Information Systems, Computer Science, or related field. • Industry recognized certification such as Certified Information Systems Auditor (CISA) or Certified

Information Systems Security Professional (CISSP) preferred. WORK STATUS: Full-Time WORKING CONDITIONS: Conditions involve lifting no more than ten pounds, sitting most of the time, but may involve walking, moving, or standing for brief periods, and occasionally lifting and carrying articles like files, ledgers, folders, etc. TO APPLY: Please visit www.woodforest.com or click on this link: https://woodforest.taleo.net/careersection/2/jobdetail.ftl?job=023047&lang=en&sns_id=mailto#.Vt30sYN6UO8.mailto Woodforest is an Equal Opportunity Minority/ Female/ Individual with Disabilities/ Protected Veteran and Affirmative Action Employer

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Woodforest National Bank - Senior IT Auditor

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