Derby City

It is starting to feel like spring, but I know that March will likely bring some more wintery days. Hopefully

more spring than winter. I know that everyone is gearing up for some March Madness.

In between the basketball games, IIA Louisville has many exciting opportunities for you

this month. On March 5, the chapter welcomes Danny Goldberg for our 2018 Spring

Seminar. Danny will be providing us training on Optimization Auditing and Practical

Ethics. Danny is a nationally recognized speaker, and I am really looking forward to this

training opportunity. The chapter plans to provide multiple opportunities throughout

the year for our CIA’s to get the newly required ethics education in 2018, so stay tuned

if you are still needing to meet this requirement.

On March 13, we will have our regular lunch meeting where we will welcome Barb

Burridge and Andrea Higgins presenting Jumping Through Hoops: Staffing, Automation

and Compliance Challenges in Finance and Accounting. I hope to see you at this meeting.

On March 23, IIA Louisville will participate in Junior Achievement’s JA in a Day program at Sanders

Elementary. This is our chapter’s 10th consecutive year for participating in JA. Please consider helping with

this important event. I have participated for several years now, and it is a nice afternoon away from the

office.

The deadline for our second annual Tone at the Top award nominations is March 31, 2018. Information on

how to nominate someone can be found here. The award will be presented at our May lunch meeting.

It is no April Fool’s Day prank, we will be holding the April lunch meeting on Tuesday, April 3, which is the

first Tuesday of April as opposed to the second Tuesday. Andy Lemon of French Lick Resort & Casino will be

presenting. Mark your calendars now for this exciting event a week earlier than usual.

Finally, I would like to congratulate newly elected officers for the 2018-2019 chapter year. I know that Balla

Sarr, President-elect; Adrien Clodfelter, Vice President-elect; Jenni Schelling, Secretary; and Brittany

Schaefer, Treasurer will do be amazing assets to our group.

The newsletter will be published monthly from September 2017 through May 2018. If you have a request for a submission please email the information to kgraham@pbibank.com and your submission will be included in the next month’s issue.

Twitter Page LinkedIn Group AuditChannel Facebook Page Chapter Homepage

Louisville IIA Chapter News Disclosures

During the month of February, we earned 94 CAP points. The Chapter hosted a monthly luncheon meeting on the topic of leadership. Three of our members earned IIA certifications which also earned CAP for the Chapter. Sarah Johnson and Christopher Dittz earned the CIA, and Josh Higdon earned the CRMA. Congratulations to you all! The CAP total is currently 1,009 and the categories are listed below. Service to Members—489 Service to Profession—344 Chapter Administration—176

Page 2 Derby City Disclosures

Date: Tuesday, March 13, 2018

Registration: 11:30 a.m. - 12:00 p.m. ET

Meeting Time: 12:00 - 1:00 p.m.

Presenter(s): Andrea Higgins and Barb Burridge

CPE credits: 1 hour

Cost: Member Price: $25

Non-Member Price: $30

Location: Bristol Bar & Grill Downtown

614 W Main St

Louisville, KY 40202

Registration: Here

We are excited to present “Jumping Through Hoops: Staffing, Automation and Compliance Challenges in Finance and Accounting”. It’s time to staff up. According to new research from Robert Half and Financial Executives International, accounting and finance teams are understaffed. They’re also weighing the effects of automation and dealing with heavy compliance burdens. How do you keep your organization in line with the constant change brought on by these and other forces? This session will go over major trends, actionable steps for today’s finance leaders and critical takeaways related to the recently released report, Benchmarking the Accounting & Finance Function: 2017.

Andrea Higgins is a graduate from the University of Kentucky in Accounting and Management. She spent 4 years in Public Accounting before coming to Robert Half in 2004 to help grow the consulting division Management Resources. For the past 14 years, she has been partnering with companies in the Louisville and Lexington area to staff strategic projects and initiatives in Finance, Accounting and Internal Audit. Andrea is also an active board member at the YMCA, serves on the membership committee at FEI Louisville and has served as the social chair for the IIA Louisville for the past 5 years. Barb Burridge is a WKU graduate, with a background in Finance and Banking. Barb brought her

background in Finance from the banking industry to Robert Half where she has helped match companies and candidates for 22 years. Barb serves as an advisor to companies that are looking to add staff on a permanent basis, or for temporary and consulting projects, and also counsels candidates on their career plans. By really getting to know both parties, Barb has successfully worked with a wide range of companies from many industries, and many candidates, from those just starting their careers, to others that are easing into retirement jobs, and everywhere in-between .

The monthly meeting includes your choice of one meal selection:

Spinach Salad With roasted beets, goat cheese, carrots & wal-nuts

Cuban Sandwich

Ham, pork loin, pickle, mustard, mayo & swiss on Cuban bread. Served with chips. Smoked Salmon & Por-

tobello Pasta Smoked salmon & Por-tobello mushrooms tossed with penne pasta in a parmesan cream sauce

Turkey Sandwich Smoked turkey breast, Cheddar cheese, lettuce & tomato on a toasted wheat bread (packet of mayonnaise & mustard on the side). Served with chips.

Page 3 Derby City Disclosures

Date: Tuesday, April 3, 2018

Registration: 11:30 a.m. - 12:00 p.m. ET

Meeting Time: 12:00 - 1:00 p.m.

Presenter(s): Andy Lemon

CPE credits: 1 hour

Cost: Member Price: $25

Non-Member Price: $30

Location: Bristol Bar & Grill Downtown

614 W Main St

Louisville, KY 40202

Registration: Here

The speaker will explore the development of a casino KYC program and discuss red flags used to identify suspicious activity, and various open source investigation techniques utilized to help identify money laundering and drug trafficking. Learn how the Casino Compliance Manager works with the Indiana Gaming Commission, reviews marketing collateral compliance, plays a vital role in the patron eviction and readmission processes.

Andy Lemon, CFE Andy Lemon is the Casino Compliance Manager at French Lick Resort & Casino (“FLRC”) located in Southern Indiana. He is responsible for directing the Casino’s Compliance Program and acts as the designated BSA Compliance Officer for the Casino's Anti-Money Laundering Program. He was responsible for developing and implementing the Casino’s current Know Your Customer (KYC) program. Andy has also worked as an Internal Auditor evaluating the adequacy and effectiveness of internal controls of the Casino including conducting the BSA/AML (Title 31) audit. Prior to joining FLRC, Andy was the Compliance Auditor at Republic Bank where he was responsible for managing the Bank’s third party risk of Tax Refund Solutions and prepaid cards and he consulted for the audit programs of Jackson Hewitt, Liberty Tax, and H&R Block. Additionally, he has worked in the Regulatory Compliance Department at Springleaf Financial Services and American General Finance.

Andy is a Certified Fraud Examiner (CFE) and a ServeSafe Food Protection Manager. Andy is a graduate

of the University of Southern Indiana where he has served on the Alumni Council for six years as

chairman of Government Relations. Currently, he is in his second year as a Town Council Member with

Greenville, Indiana. He currently serves on the boards of Greenville Water & Wastewater Utility, River

Hills Economic Development & Planning Commission, and the Indiana Council on Problem Gambling in

Indianapolis. He has served as a volunteer for the IIA including as the President of the Tri-State

(Evansville) Chapter in 2012 and as a speaker at the IIA Leadership Conference in Orlando, IIA events in

Louisville and Indianapolis, and at the IIA Gaming Conference in Las Vegas.

The monthly meeting includes your choice of one meal selection:

Salmon Track Salad Grilled Atlantic salmon, fresh blueberries, straw-berries, feta cheese & almonds, served over spinach

Theresa’s Sweet Chili

Linguini pasta tossed with cream and Thai chili sauce topped with blackened chicken Mideast Grilled Cheese

Flat bread stuffed with spinach, green onion, mushrooms, Havarti cheese and pan fried

Turkey Sandwich Smoked turkey breast, Cheddar cheese, lettuce & tomato on a toasted wheat bread (packet of mayonnaise & mustard on the side). Served with chips.

Page 4 Derby City Disclosures

Date: Monday, March 5, 2018

Registration: 8:00 a.m. - 8:30 a.m. ET (each day)

Meeting Time: 8:30 a.m. - 5:00 p.m. ET (each day)

Presenter(s): Danny Goldberg

CPE credits: 8 hours

Cost: Member Price: $275

Non-Member Price: $300

Location: Republic Bank Springhurst

Community Room (Lower Level)

9600 Brownsboro Road

Louisville, KY 40241

Registration: Here

Our Chapter is excited to announce our Spring Seminar Line up! The first 6 hours will focus on Optimization Auditing and the last 2 hours will focus on Ethics to fulfil the new 2 hour Ethics requirement beginning in 2018. For more details, please click the registration link above.

Danny Goldberg

Danny M. Goldberg is a well-known speaker on internal auditing and People-Centric Skills. Danny co-authored People-Centric© Skills: Communication and Interpersonal Skills for Internal Auditors, via Wiley Publications. This is the first book published specifically to address the wide-ranging topic of communication skills for internal auditors. It has been offered through the IIA and ISACA bookstores since July 2015 and has sold over 2,500 copies (through 2017).

Danny has over 20 years of professional experience; including five years leading/building internal audit functions. Danny was named as one of the Fort Worth Business Press 40 Under 40 for 2014. He has published numerous articles in trade magazines, including:

HFTP Journal: Practice Ethics (November 2014)

The Audit Report (Critical Thoughts on Critical Thinking, June 2013) – Cover Article

ISACA Journal (The Missing Piece: Optimized Interpersonal Skills, Volume 3, 2012)

Dallas Business Journal (The Yes Man Phenomenon, January 2011)

Danny is also accredited as the Professional Commentator of the Bureau of National Affairs - Internal Audit: Fundamental Principles and Best Practices (Professional Commentator). This book was authored by renowned audit scholars Curtis C. Verschoor and Mort A. Dittenhofer – co-author of Sawyer’s Internal Auditing.

Page 5 Derby City Disclosures

Louisville Metro Govern-ment’s Office of Internal Audit has an opening for a Senior Internal Auditor. Interested candidates should email their re-sumes to IAu-ditIMB@louisvilleky.gov. Please visit the IIA Louis-ville Chapter’s career section for opportunities.

Certification Recognition Sarah Johnson and Christopher Dittz completed the requirements for the Certified Internal Auditor (CIA) program and have therefore earned the CIA designation. Josh Higdon completed the requirements for the Certification in Risk Management Assurance (CRMA) and therefore earned the CRMA designation. CIA Review Course Sullivan University is targeting the week of 3/5/18—3/9/18 to offer a CIA Review Course. If you are interested in attending the course or would like to provide a suggestion regarding the timing please email Bob Aemmer, Certification Chair. CIA Exam: Why, How, and What Is Changing January 2019 To ensure the material within all three parts of the CIA exam stays current and valid, the CIA underwent a global job analysis study to determine the knowledge, skills, and abilities most applicable to today’s internal audit practitioners. The study results indicated the need to revise the exam syllabi to reflect the evolution of the internal audit profession worldwide. The updated CIA exams will take effect January 2019, in English only. The tranition plan for non-English exams will be released in March 2018. Each candidate should review the changes and determine the best timing to complete their individual studies and take the exam. Please review the CIA Exam: Why and How It’s Changing Handbook and the CIA Exam: FAQs for additional details.

The IIA Louisville is excited to begin accepting applications for our Second Annual Tone at the Top Award. Please complete the application, and return it to Sonja Heath by March 31, 2018. The award will be presented at our May 2018 lunch meeting. Click here to apply.

Our annual JA in a Day event at Sanders Elementary is scheduled for Friday, March 23rd from 12:30-3:30. We will be instructing at all levels grade kindergarten—2nd grade and training is available. We are looking for 18 volunteers to cover 9 classrooms. Can you join us? For more information and to register please visit our website or click here. Please contact Jennifer Vittitoe at jvittitoe@humana.com with any questions. Looking forward to another successful year, thanks to your help!

Page 6 Derby City Disclosures

Date Location

March 12-14, 2018 Las Vegas, NV

May 6-9, 2018 Dubai, UAE

Aug 13-15, 2018 Nashville, TN

Oct 1-2, 2018 Washington DC

Oct 22-24, 2018 Las Vegas, NV

Auditing the

Organization’s Compliance with the

General Data Protection Regulation

March 20, 2018

1:00– 2:00 p.m. ET

Auditing Reimagined

April 3, 2018 2:00-3:00 p.m. ET

Turning Ethical Challenges into

Strategic Opportunities

April 17, 2018 1:00-2:00 p.m. ET

CPE credit is available for those attending live broadcasts of IIA members-only webinars and guidance briefings, and completing polling questions. Registration is required.

IIA President and CEO Richard Chambers, CIA, CGAP, CCSA, CRMS, has recently shared his personal reelections and insights through his blog. We wanted to share with you a few of these with our members. Check out the links to read more. Internal Auditors: More Than Cybersecurity Police Click Here for the full article. New guidance announced by the U.S. Securities and Exchange Commission last week is raising the bar on how publicly traded companies report on their handling of one of the top challenges facing every organization — cybersecurity. The new cyber-risk guidance, an evolution of guidance first released by the regulator in 2011, boosts reporting requirements in various ways, from disclosures about board involvement in cyber-risk oversight to enhancing internal reporting procedures that more effectively determine when cyber issues rise to the level of materiality and, therefore, should be reported publicly. The new guidelines inevitably will create new compliance challenges and, with that, additional need for internal audit to provide assurance on those compliance efforts. The new U.S. rules, along with the upcoming deadline to meet strict European Union guidelines on data protection, are high-profile examples of where internal audit can provide important assurance on information technology (IT). But it is important, indeed crucial, for organizations to understand that management of cyber risks and data protection are only part of the overall IT governance picture and that internal audit can and should play a larger role than simply acting as the cybersecurity police. A recently published IIA Global Technology Audit Guide (GTAG) provides direction and insight on internal audit's approach to auditing IT governance. The GTAG's executive summary captures the benefits of strong IT governance and describes how proper IT governance can help organizations achieve their goals.

Sonja Health Humana, Inc. (502) 580-3246

Mame Balla Sarr American Commercial Barge Lines (812) 288-0250

Jenni Schelling Louisville Water Company (502) 569-3647

Brittany Schaefer Kindred Healthcare (502) 596-7605

Judy Martin University of Louisville

Open

Shawn Stevison CHAN Healthcare Auditors

Bob Aemmer LG&E and KU Energy

Open

Jodi Renn Kentucky Higher Education Student Loan Corporation

Jennifer Vittitoe Humana, Inc.

Brent Dunne Gillies Hilliard Lyons Lee Taylor Hilliard Lyons

Kevin Graham Limestone Bank

Melanie Nesler Computershare

Jodi Renn Kentucky Higher Education Student Loan Corporation

Area employers are eligible for free recruitment postings on the Louisville IIA website and in the monthly newsletter, IF at least one employee is a member of the local chapter. Newsletter advertisement rates for employers without a local chapter member and executive search firms are: $50 – ½ page; $100 – full page. Paid advertisements also include posting of recruitment information on the chapter website for one month. Payments must be received prior to posting. For more information, please email the Louisville IIA Chapter President or Secretary.

Craig Robinson (Thru 12/31/2018) Churchill Downs

Glenn Reed (Thru 12/31/2018) Louisville Metro

Whitney Reh (Thru 12/31/2018) Humana, Inc. Brandon Booth (Thru 12/31/2019)

Louisville Metro Government

Erin Bukowski (Thru 12/31/2019)

Citizens Union Bank

Sasha Pavoni (Thru 5/31/19) Humana, Inc. Gretchen Wagner (Thru 5/31/18)

Humana, Inc.

Andrea Higgins Robert Half Management Resources

Sonja Heath Humana, Inc.

Page 7 Derby City Disclosures

OFFICERS AND COMMITTEE CHAIRPERSONS

BOARD OF GOVERNORS

P.O. Box 70092 Louisville, KY 40270