February 2013 AUDIT WIRE

President’s Message Dear Members, I wish you all a happy New Year and the very best for 2015! I hope you were able to spend some quality time with family and friends and enjoy what the season had to offer. As you make your New Year’s resolutions, I’d like to suggest one of professional nature: to stay current on news and information about the internal audit profession. To this effect, The Institute of Internal Auditors (IIA) has several resources. As a member you already receive the Internal Auditor magazine. I encourage you to read this magazine and also spend a little time each week browsing through the following resources available through the IIA website: • IIA SmartBriefs – These provide a weekly snapshot of market news and issues

affecting internal auditors and their stakeholders from leading global news sources.

• Your Career Compass – This supports our members’ internal audit career growth

with the latest knowledge, tools, and resources available. Members receive topic-specific tips and guidance on training, education, and knowledge-sharing.

• IIA Connection – This is a members only monthly eNewsletter designed to

provide relevant and timely information on internal audit news and what’s happening at The IIA in the areas of guidance, research, training, services, events, and certification. Please opt-in to receive this newsletter.

Registration for the Sixth Annual Houston IIA Conference opens in January. Register right away to guarantee yourself a spot at a historically sold-out conference and to take advantage of the early registration discount. Our two-day boot camp to teach essential skills of a successful internal auditor has sold out. Please keep an eye out for additional seats that might be opened up. Otherwise, take advantage of the other great training opportunities offered by the Chapter. Our annual report has been published, so keep an eye out for it in your mailbox and take some time to look at all the great things the Chapter has done for you, our members. Please email me with your ideas and suggestions to take the Chapter to even greater heights. Rumy Jaleel-Khan Houston Chapter President rjaleelkhan@deloitte.com

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AUDIT WIRE MON THLY

INSIGHTS

President’s Message

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Luncheon and Registration

2-4

CPE Reporting and New Members

6

Houston Annual Conference

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CIA Review Courses

8

COSO Research Survey

9

University of Houston

10

CAP Update 11

Job Postings 12-13

New Hire Boot Camp

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The monthly luncheon meetings are held at the Petroleum Club.

This great downtown venue is located at 800 Bell on the 43rd floor of the downtown Exxon-Mobil building. The seated plate lunch begins at 11:30, with the program beginning at noon. Both public and valet parking are available.

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

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Luncheon Topics and Speaker Information

I IA HOUSTON CHA PT ER

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PRESIDENT Rumy Jaleel-Khan Deloitte VP ADMINISTRATION Susan Willrodt Halliburton VP FINANCE Ed Tucker VP COMMUNICATIONS Eric Murray Deloitte VP ACADEMIC RELATIONS Jamie DuBray Chevron VP TECHNOLOGY Mary Hall Texas Children’s VP SEMINARS Greg Bone Anadarko VP MEMBERSHIP Ryan O’Day PwC SECRETARY Tracy Hebert Plains All American NEWSLETTER EDITORS Jamie Dugas Deloitte Jenny Meyers Deloitte

Day of Meeting Plated lunch

begins at 11:30 am

Pricing: Early IIA

Member: $30

Non-Member and Regular Registration IIA

Member: $40

Valet Parking: $7

Meeting Location

Petroleum Club 800 Bell on the

43rd floor

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Upcoming Topics and Speakers

Date Topic(s) Speaker(s)

1/5 Luncheon: The Power of Analytic Interviewing Post luncheon training: Detecting Deception in

the Blink of an Eye

Mary Daugherty Tab Cooper

1/6 - 1/7 Professional Development: New Hire Boot Camp (two day course) Danny Goldberg

2/2 Foreign Corrupt Practices Act Rob King (VP Internal Audit - FedEx)

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LUNCHEON: NEW LOCATION BEGINNING IN FEBRUARY 2015

The monthly luncheon meeting is changing locations. The Petroleum Club, our current meeting facility located at 800 Bell St., will be relocating to 1201 Louisiana, top floor of the Total Building, at the end of January 2015. We looked at downtown venue options since the feedback from our members indicates they prefer the downtown area for luncheon meetings. Based on the feedback and other considerations, our Board of Directors has approved the Petroleum Club of Houston as our monthly luncheon venue for 2015.

The January 2015 luncheon will be the last meeting at the 800 Bell St. location, but we look forward to the new location and seeing you there in 2015.

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Luncheon Changes

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Topic: Luncheon: The Power of Analytic Interviewing Post Luncheon Seminar: Detecting Deception in the Blink of an Eye

Speakers: Mary Daugherty, Senior Special Agent (ret) and Tab W. Cooper

About the Speakers: Mary Daugherty is a retired Senior Special Agent with the Bureau of Alcohol, Tobacco, Firearms and Explosives (BATF). During Mary’s 27 years of Federal service, she was assigned to the Violent Gang Task Force and applied investigative and interviewing skills as case agent and in undercover capacities investigating Asian Organized Crime, Jamaican Posses, Bandidos Motorcycle Gang, Texas Syndicate Prison Gang and Mexican Mafia. Resulting in Special Agent Daugherty being recognized as "Officer of the Year" by the 100 Club of Houston.

Tab Cooper is quickly becoming internationally recognized for his skills-based approach to modifying participant behavior to enhance a wide range of interpersonal skills, personally and professionally. During his 20-year law enforcement career, Tab served as patrol officer, investigator, instructor and commander. He is a graduate of the Leadership and Command College (LCC) and held a Master Peace Officer certification through the Texas Commission on Law Enforcement.

Summary of Topic: The Power of Analytic Interviewing

Objectives: At the conclusion of the presentation, participants will understand and be aware of: • Overview of the social and emotional skills essential for interviewing based on the latest research

in psychotherapy and neuroscience • Why our ability to interview and detect deception is declining as a society • Self-evaluation calibration test on reading micro expressions

Post Luncheon Seminar: Detecting Deception in the Blink of an Eye

Objectives: The seminar will provide ways for auditors to apply technology concepts into their audits including: • Experience the technique for developing emotional intelligence essential for managing the

interview process • Learning how to detect micro expressions and why they are important • Experience a wide range of options in building rapport quickly • Learning advanced questioning strategies to get detailed, accurate, truthful information • Avoiding deception by omission and vague answers Regular Luncheon - Chapter Members $40; Non-Members $40 Luncheon with Afternoon Session - Chapter Members $75; Non-Members $100

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January Luncheon Topic and Speaker

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New Hire Boot Camp

Register for Audit Boot Camp Training When: January 6 and 7, 2015 Internal Audit 101—We are excited to offer this seminar to our local internal audit practitioners. Course Agenda: • Introduction and Background • Overview of Internal Audit Guidance • Internal Audit Planning • Internal Audit Process • Control Best Practices • Fraud Overview and Fraud Red Flags • Sampling Methodologies and Overview of Application • Internal Audit Wrap-Up • Flowcharting • Crucial Communication/The Role of Internal Audit • Interview Techniques • Future Steps and Hurdles Registration: • Members - $250 • Non-Members - $350

About the Training Facilitator: Danny M. Goldberg is the Principal and Founder of GOLDSRD. Prior to starting GOLDSRD, Mr. Goldberg was the Professional Development Practice Partner at Sunera. And prior to joining Sunera, he founded SOFT GRC, an advisory services and professional development firm. Prior to founding SOFT GRC, Mr. Goldberg had over 15 years of audit experience, including five years as a CAE/Audit Director at two diverse companies. At Dr Pepper Snapple Group he was the Director of SOX Compliance and Corporate Audit where he led the Year-One SOX Compliance efforts. And before his tenure at Dr Pepper Snapple, Mr. Goldberg was the Chief Audit Executive at Tyler Technologies, a publicly traded technology company, where he built the internal audit function from the ground up.

Mr. Goldberg has served on the Board of Directors of a non-profit organization and on the audit committee of the Dallas Independent School District. He currently serves as the Chairman of the North Texas Leadership Council of the American Lung Association and is also the IIA Dallas Chapter Programs Committee Co-Chairman. His credits include professional commentator on the BNA Tax and Accounting Portfolio, Internal Auditing: Fundamental Principles which is authored by scholars Curtis C. Verschoor and Mort A. Dittenhofer (who is also co-author of Sawyer's Internal Auditing.)

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CPE Reporting and New Members

Don’t miss the CPE reporting deadline!

Welcome to our New 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.

Leeza Pavlyshyna (University of Houston)

Sabrina Cabarga (University of Houston)

Mike Gillan (RGP)

Bradley Etnyre (Texas Lottery Commission)

Susan Lin (HCC Insurance Holdings)

Jennifer Duarte (CenterPoint Energy Inc.)

Kari Paulsel

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Houston IIA Annual Conference

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Unveiling the “Magic” of Internal Audit

3 Dynamic Keynote Speakers 15 Concurrent Sessions

8 hours of CPE Breakfast, Lunch and Post-Conference Networking Reception

Sponsor Exhibits and IIA Bookstore

This is a packed day of learning, networking and entertainment. Mark your calendar for this marquis event!

Registration opens January 5, 2015 Program and Registration Information Available at the January Chapter Luncheon

There is still time to register to be a conference sponsor. Please follow the link below for sponsor information and registration:

http://www.cvent.com/d/q4q6pn

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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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COSO 2014 Internal Control — Integrated Framework

Houston IIA Member, A research project examining how the COSO updated 2013 Internal Control – Integrated Framework is impacting organizations and their internal control focus is being conducted. Leah Muriel, Professor in the School of Accounting at Oklahoma State University (OSU) and two other OSU professors are currently leading this research project. We need business professionals to take a brief survey related to this topic. This survey will take approximately 15 minutes. In return for your participation, you have the opportunity to win one of two $50 VISA gift cards. Winners will be determined by random drawing once our survey process is complete. If you choose to participate in the drawing, no identifying information you provide will be linked to your survey responses. Please go to the link below. Your responses will remain anonymous, and no individually identifying information of you or your organization will be asked during the survey. http://okstatebusiness.qualtrics.com//SE/?SID=SV_1WSX9p2wFuhu3Q1

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COSO Research Survey

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Greetings from the University of Houston!

The University of Houston held its final Meet an Internal Auditor event for the semester. Ricardo Mago from PwC gave us great insight into internal auditing from both industry and public perspectives. The students had many questions for the speaker about life as an internal auditor. This event excelled at promoting internal audit as a career path. As yet another semester comes to a close Internal Audit Student Association would like to give special recognition to our top members for Fall 2014. These students have shown their commitment to internal audit by attending multiple IASA and/or IIA events this semester.

Top IASA Members Fall 2014

Anna Zubkova Temsiri Laoboonraung

Cuong Nguyen Le Ma

Rizvan Chowdhury Shayer Jahangir

Nguyen Le Nazeem Navodia

Robyn Shelton We would also like to thank the Houston IIA for their continued support! If you or your company is interested in working with IASA, please contact IASA President Noelia Garcia at president@uhiasa.com.

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University of Houston IASA Update

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Chapter Achievement Points (CAP)! 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:

1. Service to Members 2. Service to the Profession 3. Chapter Administration

The Houston Chapter has been awarded Gold or better for each of the last 16 years and Platinum for the past 7 years! Our goal is nothing short of the highest level of Platinum! As of 12/10/2014, we have earned 700.93 CAP Points. While only 43% of the way to achieving our goal, we expect to achieve Platinum by the end of the Chapter year in large part due to the results of our Annual Conference. How Do We Get CAP Points? We receive CAP points for providing services to our members. For example, this includes educational offerings to our members as well as networking events. We also get CAP points for providing services to the profession. This comes from having members of our Chapter submitting articles to the Internal Auditor Magazine, supporting our local universities, and making presentations on the relevant subjects such as internal audit, ERM, fraud, and other risk related topics. We also get CAP points for properly administering the Chapter activities and our timely reporting to the IIA. What Can You Do? Simply keep participating in all of the educational events we provide – from the luncheons to the seminars to the roundtable discussions. You can also help by letting us know when you: • Speak about the profession or on internal audit related topics to others outside of your company • Submit exam questions for the CIA exam • Participate in an IIA-sponsored Quality Review • Participate in IIA research projects • Teach in Junior Achievement • Submit an article to the Internal Auditor (extra points for getting published!!!) These are just a few examples. Do your part in helping us maintain our premier Platinum standing as an IIA Chapter. Please email Wendi Stout at stout.wendi@gmail.com with the details of your accomplishments and activities. What Else Can I Do? Want to get more involved? Contact Chapter President, Rumy Jaleel-Khan, or Vice President of Membership, Ryan O’Day, to explore opportunities for involvement. Thanks for your help!

Lyn Beaty, Former President and CAP Administrator Page 11 Return to Home Page

100%

75%

50%

25%

10%

Mo 6

Actual Projected

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Company Background: Chartered in 1905, American National Insurance Company has evolved into an industry leader, ranking among the largest of life insurance companies in the United States. Directly and through subsidiaries, the company offers a broad line of insurance products and services, including life insurance, annuities, health insurance, property and casualty, credit insurance, and pension plan services. For over 100 years, American National Insurance Company has been a leader and innovator in the insurance industry and is one of the most respected and financially sound insurers in the United States. American National is an Equal Opportunity Employer. Job Description: If you are seeking a position with a stable yet growing company and opportunity for career progression, American National is the place to be. American National’s Internal Audit team located within our attractive professional office complex in South Shore Harbour, is currently seeking a career oriented individual who desires a comfortable work life balance, for the position of: Senior Auditor. FLSA Status: Exempt. Essential Functions and Duties: This position will be responsible for auditing the various operations of American National, its affiliates, investments and other ventures. Minimum Requirements: • Candidates must have a Bachelor’s degree in Accounting or Finance • CPA or CIA certification • 2 years of recent auditing experience (Big 4 a plus) • Proficient with PC applications including the Microsoft Office suite • Must be very cognizant of internal controls and confidently question the validity of data • Must possess the ability to relate to and interact with various personalities and possess

strong oral and written communication skills Work Life Balance: This opportunity requires less than 10 days of out-of-town travel per year, a flexible work schedule and only minimal overtime. Application Instructions: Please apply online via the career center at www.anico.com position number 14-0567

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American National - Senior Auditor

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Background: CenterPoint Energy, Inc., headquartered in Houston, is a domestic energy delivery company that includes electric transmission & distribution, natural gas distribution and energy services operations. The company serves more than five million metered customers primarily in Arkansas, Louisiana, Minnesota, Mississippi, Oklahoma, and Texas. CenterPoint Energy has an immediate opening for a Senior IT Auditor in downtown Houston. Local Houston candidates preferred. Essential Functions and Duties: • Participating and leading a variety of IT internal audit assignments and projects which may

include: infrastructure assessments, application reviews, software implementation reviews, integrated audits and special projects

• Planning, organizing and performing various IT audit engagements, including leading a team of IT auditors on individual audit engagements

• Developing efficient and effective IT audit objectives, detailed IT audit programs and testing procedures

• Assessing information technology control elements to identify information technology risks regarding the confidentiality, integrity and availability of business information

Minimum Requirements: • Bachelor’s degree plus a minimum of 4 years’ experience in IT audit • Solid technical skills and understanding in one or more of the following: information

security, IT audit, and governance systems; including SAP, UNIX, Windows, z/OS, and Database Management Systems

• Knowledge of SDLC, general IT controls, and IT control frameworks is desirable • CISA, CISSP, CPA, or CIA certification desirable Application Instructions: Submit a resume with salary requirements to: renee.coty@centerpointenergy.com or apply online http://www.centerpointenergy.com/careers/ Job CNP00976

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CenterPoint Energy, Inc. - Senior IT Auditor

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