the institute of internal auditors san gabriel valley chapter · 2018. 2. 15. · rod machado, ey...

Current Sponsors of Our Upcoming Event

The San Gabriel Valley Chapter of the IIA will be hosting a one-day seminar. The event will focus on providing quality professional education on topics such as: The Pressures Facing IA to Evolve, The Future of People, Work, and Control, and Innovative Technologies, as well as other IA relevant topics (refer to Seminar Overview for details). In addition, the seminar will give participants a chance to network with other professionals at a reasonable price. WHEN: Friday, February 23, 2018 8:00 AM to 4:40 PM (Registration 7:15 AM to 8:00 AM) WHERE: EY – Downtown Los Angeles

725 S Figueroa St, Los Angeles, CA 90017 3rd Floor - 03.R306ABC - Conference Center

CPE: 8 Hours (NASBA) MEALS: Breakfast, lunch and afternoon snacks will be provided. Also

networking reception to follow seminar. REGISTER HERE: Due to limited capacity registration will be accepted on a first come

first served basis. Don’t miss out the chance to win some cool raffle prizes to be awarded each day!

COST: $125 for IIA Members $175 for Non-members Parking fee not included

The Institute of Internal Auditors San Gabriel Valley Chapter

Presents The Future of Internal Audit

1-Day Seminar

Friday, February 23, 2018

http://www.eiseverywhere.com/022318seminar


PAYMENT Pay online or pay with check at the event. Make check(s) payable to: INFORMATION: IIA San Gabriel Valley Chapter

Attn: Yu-Hau Fu, Treasurer San Gabriel Valley Chapter, The Institute of Internal Auditors, Inc.

CANCELATIONS/ REFUNDS: Cancelations / Refund requests should be received by February 22,

2018. No refunds will be granted after the event start date. Contact us at [email protected] for refund, complaint or cancellation policies.

LEARNING Refer to Seminar Overview for agenda, topics and learning objectives. OBJECTIVES: PREREQUISITES: None ADVANCE PREP: None LEARNING LEVEL: Basic FIELD OF STUDY: Auditing, Information Technology DELIVERY METHOD: Group-live PARKING: EY Plaza parking garage (located at 945 West 8th St.) – $16 when

entering the garage before 9:00am; $35 when arriving after 9am

Metrolink trains (through Union Station), Metro Redline and Purpleline can also be used to commute to EY Plaza. There is a Metro station right across the street.

If you have questions, please contact: Marina Daniel at [email protected] or Diana Estrada at [email protected]

mailto:[email protected]




NASBA Continuing Professional Education (CPE) Policies San Gabriel Valley Chapter is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors through its website - Website: www.learningmarket.org.

In accordance with the standards of the National Registry of CPE Sponsors, CPE credits have been granted based on a 50-minute hour. One-day programs are eligible for 8 CPE credits. Actual credits awarded are based on actual program length.

_____________________________________________________________________________________

SEMINAR OVERVIEW - 1 DAY SEMINAR – THE FUTURE OF INTERNAL AUDIT FRIDAY, FEBRUARY 23, 2018

From To Description Speaker Company

8:00 8:45 Registration and Breakfast provided

8:45 9:00 Welcome - Introductions and seminar overview (including learning objectives)

Diana Estrada and Marina Daniel

LA Metro EY

9:00 9:50 The Future of Internal Audit Garry Goodall EY

9:50 10:50 Robotics and Advanced Analytics Myles Sansone

Josh Pile EY

10:50 11:00 Break (with IA trivia) – Snack provided Diana Estrada and

Marina Daniel LA Metro

EY

11:00 11:30 Effective Audit Report Writing and Communication Styles

Thi Ngo Rod Machado

EY

11:30 12:00 Integrated Control Testing - Reliable Leverage Approach and Models

Ricky Lau Ariel McNair

EY

12:00 12:45 Lunch provided on site

12:45 2:00 Chief Audit Executive Panel Discussion - Perspectives on the Future of IA

Jeff Phillips Diana Estrada Ray Machado Richard Lee

LAPD LA Metro

First American Title Insurance TrueCar.com

2:00 2:10 Break (with IA trivia) – Snack provided Diana Estrada and

Marina Daniel LA Metro

EY

2:10 2:50 Automation of IA Management and Reporting (key topics: audit milestones / SOX status, issue follow up, resource management)

John Brooks Ray Machado

First American Title Insurance

2:50 3:20 Tax Reform Update - Panel Discussion (new topic)

Lena Hines Tiffany Switalski

Chris Billick Bryant Turner

EY

3:20 4:00 Fundamentals of Blockchain and Cryptocurrency Navin Sethi

Myles Sansone EY

4:00 4:30 Digital Audit Committee Reporting Garry Goodall EY

4:30 6:00 Networking Reception All Attendees and Speakers

http://www.learningmarket.org/


Presentation 1: The Future of Internal Audit

This presentation will provide an overview of the current and emerging pressures facing internal audit

functions to evolve. In the next 3 - 5 years, internal audit has to adapt in key areas, and remain agile, to

remain current with business and technological change.

Prerequisite: None

Advance Preparation: None

Learning Level: Basic/Intermediate

Field: Auditing

Delivery Method: Group-Live

Learning Objectives:

Identifying current and emerging challenges impacting internal audit functions

Understanding the key areas internal audit must adapt

SPEAKER BIO

Garry Goodall, EY Principal

Experience Summary Garry is a principal within Ernst & Young LLP’s Financial Services Organization. He has over 29 years of internal audit

experience with 27 years auditing in the financial services industry working with diversified financial services institutions.

Garry’s primary area of focus is banking and capital markets. Garry leads our Banking and Capital Markets Internal Audit team

and has been involved, either in a lead or advisory capacity, with most of our largest internal audit-related engagements, whether

through internal audit co-sourcing, quality assessment reviews, transformation projects or by sharing thought leadership. He has

obtained tremendous working knowledge of the various practices.

Education and Certification ► Chartered Internal Auditor


Presentation 2: Robotics and Advanced Analytics

The Robotics and Advanced Analytics session will provide an overview of Robotics Process Automation

(RPA) and Analytics techniques for Internal Audit. For RPA, the presentation will include defining what

RPA is, use cases for how RPA can be used to enhance the efficiency and effectiveness of Internal Audit

procedures, and how to go about implementing RPA use cases. The Advanced Analytics portion will focus

on performing analytic procedures over structured and unstructured data and specific techniques such as

audio analysis and machine learning that can be used by Internal audit to perform analytics procedures.

Prerequisite: None



Field: Information Technology



Define Robotics Process Automation (RPA) and how it applies to Internal Audit

Provide examples of how RPA can be used to enhance efficiency and effectiveness of procedures

Define Analytics techniques for structured and unstructured data

SPEAKER BIOS

Myles Sansone, EY

Senior

Experience Summary Myles Sansone is a Senior in

Financial Services practice of

Ernst & Young LLP. He is

currently working on

engagements involving Internal

Audit and SOX Compliance Readiness. Additionally, he

provides expertise in automation of current MS Excel

reports through VBA enhancements. Prior to EY, he

received undergraduate degrees in Mathematics and

Computer Science, with emphases in applied mathematics

and cryptography, respectively.

Education and Certification ► B.S. in Mathematics from Santa Clara University

► B.S. in Computer Science from Santa Clara

University

Josh Pile, EY Senior

Manager

Experience Summary Josh Pile is a Senior Manager in

the Advisory Services practice of

Ernst & Young LLP. He has over

eight years of experience in the

Financial Services industry

serving investment and retail banks, broker dealers and

asset managers in the areas of internal audit and IT risk

management advisory services. In addition, Josh leads

Governance, Risk and Compliance (GRC) engagements

across multiple platforms, and has experience assisting

clients with project management, change management and

platform configurations related to GRC and Internal Audit

technology solutions.

Education and Certification ► BS in Business Administration, Information

Systems from California Poly, San Luis Obispo

► Certified Information Systems Auditor (CISA)


Presentation 3 – Effective Report Writing and Communication Skills

This presentation discusses the industry’s leading practices as it relates to written and verbal

communication. It will focus on techniques for illustrating risk statements, stating critical issues, focusing

on impactful findings and avoiding negative language.

Prerequisite: None



Field: Auditing



Learn techniques and approaches for engaging, informing and inspiring an audience through

different communication and writing styles

Know the do’s and don’ts for writing clear and concise reports

Understand the four factors that set the “Tone” in communication

SPEAKER BIOS

Thi Ngo, EY Manager

Experience Summary Thi is a manager in Ernst & Young

LLP’s Advisory Services practice.

She is an information security and

IT risk professional with seven

years of experience. She has been

involved in projects related to

information risk and security,

identity and access management, IT controls testing and

remediation, IT risk and assurance, and internal and external

audit.

Education and Certification ► B.S. in Computer Information Science from the

University of South Australia

► Master of Business Information Systems from the

University of South Australia

► Certified Information Systems Auditor (CISA)

Rod Machado, EY Manager

Experience Summary Rod is a Manager in the Financial

Services Organization Advisory

practice of Ernst & Young LLP. He

has over 7 years of financial services

experience with focus on internal

controls, SOX and Committee of

Sponsoring Organizations (COSO) assessments, internal

audit, quality reviews, debt recapitalization and

restructuring, enterprise risk management, corporate fraud,

compliance, divestiture activities, segment analysis and

reporting, technical research and financial statement audits.

Education and Certification ► BBA in Public Accounting from Pace University

► Associate Professional Risk Manager


Presentation 4 – Integrated Control Testing - Reliable Leverage

The presentation on Integrated Control Testing will introduce current industry consideration around an

integrated testing framework. Consideration will touch on implementation, explore challenges faced by

organizations pursuing control assurance while balancing efficiency, and discuss emerging trends around

the concept of a Testing Center of Excellence (COE).

Prerequisite: None



Field: Auditing



Identifying the driver for changes in testing framework implementation

Understanding the benefits of a Testing COE

Understand the components of a Testing COE, and the various design options that have the

capability to achieve reliable leverage

SPEAKER BIOS

Ricky Lau, EY Manager

Experience Summary Ricky Lau is a Manager in the

Advisory Services practice of Ernst

& Young LLP. He has over five

years of professional services

experience in the financial services

industry performing internal audits.

His previous experience includes

conducting audits related to Comprehensive Capital

Analysis and Review, Dodd-Frank Act Stress Testing,

Capital Markets, Mortgage Banking, Liquidity and Cash

Management, Enterprise Risk Management, Technology and

Operations, OCC Heightened Standards, and Sarbanes

Oxley Act (SOX).

Education and Certification ► B.S. in Mathematics / Economics from the

University of California, Los Angeles

► Associate Professional Risk Manager

Ariel McNair, EY Senior

Experience Summary Ariel McNair is a Senior Consultant

in the Advisory Services practice of

EY. During her time with the one of

the nation’s largest banks based

financial services companies she had

the opportunity to gain experience

with the Corporate Banking team as

well as the Public Sector team within Capital Markets. Since

joining EY, Ariel has had a variety of experiences primarily

serving brokerage and banking clients. Her projects have

focused on issue validation and remediation, data analysis,

financial and regulatory reporting, management assessments

and reviews of operational risk management programs.

Education and Certification ► B.S./B.A. in Finance from Xavier University


Presentation 5 – Chief Audit Executive Panel - Perspectives on the Future of IA

Moderated by Garry Goodall

This presentation will provide an overview of the current and emerging pressures facing internal audit

functions to evolve. In the next 3 - 5 years, internal audit has to adapt in key areas, and remain agile, to

remain current with business and technological change.

Prerequisite: None



Field: Auditing



Provide an overview of different internal audit functions across industries

Understand the perspective of a Chief Audit Executive (CAE) on the current and emerging

challenges impacting their internal audit functions, including key areas their internal audit must

adapt

PANELIST BIOS

Jeffry Phillips, Los Angeles

Police Department

Experience Summary Dr. Phillips has served over 25 years with

local and federal law enforcement

agencies. He is currently the

commanding officer, and serves as the

Chief Audit Executive with the Los

Angeles Police Department (LAPD), Audit Division. He has

served as President of the International Law Enforcement

Auditor’s Association, and Chairman of Alta Public Schools

in Los Angeles, California. Dr. Phillips teaches for the

LAPDs Basic Law Enforcement Performance Auditor Course,

is an adjunct professor at Mount Saint Mary’s University and

California State University at Los Angeles, and has served as

a consultant to the Los Angeles County Sheriff’s Department.

Education and Certification ► B.S. in Criminal Justice from California State

University, Los Angeles

► M.S. in Public Administration from California State

University, Los Angeles

► Ph.D. in Public Administration from the University of

La Verne

Ramón Machado, First

American Chief Audit

Executive

Experience Summary Ramón Machado is the Chief Audit

Executive for First American Financial

Corporation. He is an attorney, CIA,

CRMA, CPA, CISA, and CFE who for

the past 20 years has provided auditing, forensic accounting,

and litigation services as a member of private industry, public

accounting, and U.S. regulator. He currently oversees First

American's global Internal Audit function with professionals

located in the United States, Canada, and Asia. Mr. Machado

is a past board member of the Association of Hispanic CPAs

and a past Adjunct Professor at Pepperdine University School

of Law and Chapman University Argyos School of Business.

Education and Certification ► Certified Internal Auditor (CIA)

► Certified Public Accountant (CPA)

► Certified Fraud Examiner (CFE)


PANELIST BIOS CONTINUED

Diana Estrada, LA Metro Chief

Auditor

Experience Summary Diana Estrada is the Chief Auditor of the

Los Angeles County Metropolitan

Transportation Authority (LA Metro). LA

Metro has a budget of 5.6 Billion and is

unique among the nation’s transportation

agencies. It serves as transportation planner and coordinator,

designer, builder and operator for one of the country’s largest,

most populous counties. LA Metro is responsible for the

continuous improvement of an efficient and effective

transportation system for Los Angeles County. Diana started her

career at LA Metro 21 years ago as Accounting Assistant and

worked her way up to become the Chief Auditor for LA Metro.

Education and Certification ► B.S. in Accounting from Saint Paul College, Q.C.,

Philippines

► Certified Internal Auditor (CIA)


Richard Lee, TrueCar.com

Chief Audit Executive

Experience Summary

Richard Lee is Chief Audit

Executive at TrueCar.com and has

been in that role for the past 2

years. Richard has 17 years of

professional experience in Audit,

Finance and Accounting. Richard is an alum of EY’s

Advisory practice and was a Senior Manager there.

Additionally, Richard held the position as the Director of

Compliance at MySpace, Inc. Richard attended the

University of California at Santa Barbara where he earned

a degree in Business Economics with an emphasis in

Accounting.

Education and Certification ► B.S. in Business Economics with an Accounting

emphasis from University of California, Santa

Barbara


Presentation 6 – Automation of IA Management and Reporting

This presentation will share how First American developed and uses automation and analytics to manage

the operations of their internal audit function. Presentation will touch on aspects of the functionality of their

auditing software TeamMate. Automation covers real time status reporting for internal audits, SOX, issue

validation, resource management, and other areas impacting the effectiveness of an IA function.

Prerequisite: None






Learn how data analytics can be leveraged to effectively manage IA operations

Experience the journey to automation, including challenges and milestones of achievement

SPEAKER BIOS

Ramón Machado, First

American Chief Audit

Executive

Experience Summary Ramón Machado is the Chief Audit

Executive for First American

Financial Corporation. He is an

attorney, CIA, CRMA, CPA,

CISA, and CFE who for the past 20 years has provided

auditing, forensic accounting, and litigation services as a

member of private industry, public accounting, and U.S.

regulator. He currently oversees First American's global

Internal Audit function with professionals located in the

United States, Canada, and Asia. Mr. Machado is a past

board member of the Association of Hispanic CPAs and a

past Adjunct Professor at Pepperdine University School

of Law and Chapman University Argyos School of

Business.

Education and Certification ► Certified Internal Auditor (CIA)



John Brooks, First American

Director

Experience Summary John Brooks is a Director in the First

American Internal Audit department with

over fifteen years of experience in

operational, compliance, information

technology systems and controls audits.

John currently oversees the international

internal audit operations for First American as well as the Internal

Audit Data Analytics Team. Prior to joining First American, John

was a Manager in the Orange County (CA) IT Advisory Services

practice of KPMG, LLP, where he was responsible for managing

aspects of Audit and Advisory services for large multinational

corporations, including IT external and internal audit support, IT

project/risk management, IT controls review, business process

analysis, system development life cycle methodologies,

implementation reviews, security and segregation of duties

reviews, business continuity and disaster recovery planning.

Education and Certification ► B.S. in Business Management from Brigham Young

University

► M.S. in Information Systems Management from Brigham

Young University


Presentation 7 – Tax Reform Update - Panel Discussion

The Tax Reform Panel will discuss new provisions enacted under the Tax Cuts and Jobs Act and highlight

certain items organizations may consider in assessing whether internal policies or procedures should be

modified to comply with the new tax legislation.

Prerequisite: None



Field: Auditing



Understand key aspects of the Tax Cuts and Jobs Act

Identify new provisions that are relevant to your organization

Determine new rules that impact an organizations’ internal policies and procedures

PANELIST BIOS

Lena Hines, EY Principal

Experience Summary Lena is a member of the International

Tax Services Capital Markets practice

and is based in Los Angeles, California.

Specializing in the taxation of financial

products, she consults on domestic and

international tax-planning opportunities

involving financial instruments and transactions, in the fixed

income, equity, currency and commodities, markets. As a

practicing attorney during the early part of her career, Lena’s

practice focused on tax issues related to issuances of

complex securities, structuring securitization transactions

and a tax hedging program regarding a $3B debt portfolio.

Education and Certification ► LL.M., Taxation from Georgetown University Law

Center

► J.D. from UCLA School of Law

► State Bar of California: Taxation Law Section

Tiffany Switalski, EY Partner

Experience Summary Tiffany is a partner in Ernst & Young

US LLP’s Financial Services

Organization Tax practice and is

based in Los Angeles. She works

exclusively with hedge funds, private

equity funds, fund of funds and the

related management companies. Tiffany has extensive

experience advising her clients on partnership allocations,

securities analysis and various state and international tax

matters. Tiffany has provided a range of tax consulting and

compliance services for her clients ranging from the new

fund manager launch to large multi-billion dollar fund

complexes.

Education and Certification ► B.A. in Accounting and Management Information

Systems from Lewis University

► Certified Public Accountant (CPA) (certified in

California and Illinois)


PANELIST BIOS

Bryant Turner, EY Senior

Manager

Experience Summary Bryant has more than 15 years’

experience advising clients in the

international financial services and

private equity space. He is part of EY’s

international tax team in the Financial

Services Organization where he advises

a full range of clients in the international tax area. Bryant

assists clients and supports EY teams in the structuring of

international investment funds, with an emphasis on private

equity and capital markets. He manages both international

consulting and compliance services.

Education and Certification ► B.A. in Economics and Political Science from the

University of California, Santa Barbara

► J.D. and LL.M. in Taxation from the University of

San Diego School of Law.

► Certified Public Accountant (CPA) (certified in

California)

Christopher Billick, EY Senior

Manager

Experience Summary Between Ernst and Young, Deloitte Tax

and PricewaterhouseCoopers, Chris has

over 14 years of “Big 4” experience

serving financial services clients in the

West Coast market. Chris has a broad

range of experience serving banking,

capital market and insurance companies. His client’s industries

have ranged from traditional banks and insurance companies to

aircraft leasing, mortgage companies and FinTech start-ups.

Further these clients have operated as partnerships, “C” and

“S” corporations, nonprofit mutual benefit corporations, and

Real Estate Investment Trusts (REITs).

Education and Certification ► B.S. from the University of California, Los Angeles

► Masters of Business Taxation from the University of

Southern California



Presentation 8 – Fundamentals of Blockchain and Cryptocurrency

This presentation provides an overview of the secure, peer to peer ledger shared across the network which

contains viable transactions that are grouped into blocks, also known as blockchain. It will focus on the

structural features, common characteristics, key activities and the role and application of blockchain in

internal audit.

Prerequisite: None






Understanding the role of blockchain in addressing organizational risks

Identifying applications in internal audit of blockchain

SPEAKER BIO

Navin Sethi, EY Partner

Experience Summary Navin is a tax partner in the FSO

Tax Practice in San Francisco.

Navin specializes in providing tax

consulting and compliance services

to clients in the financial services

industry. Navin’s recent clients

include hedge funds, fund of funds,

private equity, venture capital and real estate funds. Navin

has more than 20 years of work experience in both the public

and private industry. Navin began his career as a tax attorney

for a large oil and gas firm in Houston, Texas. Navin later

joined a Big Four accounting firm in San Francisco and

worked in their asset management practice as well as in their

technology practice. Navin was the senior tax partner in the

Rothstein Kass Bay Area practice before joining EY.

Education and Certification ► B.S. in Law and Accounting from University of

Texas at Austin

► L.L.M. from Golden Gate University

► Licensed Attorney and a CPA in California and in

multiple other jurisdictions.

Myles Sansone, EY

Senior

Experience Summary Myles Sansone is a Senior in

Financial Services practice of

Ernst & Young LLP. He is

currently working on

engagements involving Internal

Audit and SOX Compliance Readiness. Additionally, he

provides expertise in automation of current MS Excel

reports through VBA enhancements. Prior to EY, he

received undergraduate degrees in Mathematics and

Computer Science, with emphases in applied

mathematics and cryptography, respectively.

Education and Certification ► B.S. in Mathematics from Santa Clara University

► B.S. in Computer Science from Santa Clara

University


Presentation 9 – Digital Audit Committee Reporting

This provides an overview of how to transform Audit Committee reporting through digital enablement.

Prerequisite: None






Understand the genesis of ‘‘AC Digi Reporter’’ tool and key features

Understand how to enhance the impact and effectiveness of Audit Committee reporting

Provide an overview of the methodology to enable transformation

SPEAKER BIO

Garry Goodall, EY Principal

Experience Summary Garry is a principal within Ernst & Young LLP’s Financial Services Organization. He has over 29 years of internal audit

experience with 27 years auditing in the financial services industry working with diversified financial services institutions.

Garry’s primary area of focus is banking and capital markets. Garry leads our Banking and Capital Markets Internal Audit team

and has been involved, either in a lead or advisory capacity, with most of our largest internal audit-related engagements, whether

through internal audit co-sourcing, quality assessment reviews, transformation projects or by sharing thought leadership. He has

obtained tremendous working knowledge of the various practices.

Education and Certification ► Chartered Internal Auditor

the institute of internal auditors san gabriel valley chapter · 2018. 2. 15. · rod machado, ey...

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