1 February 2011 In Every Issue • Upcoming Programs • National Spotlight • What’s New • Officers, Board of Governors & Committee Chairpersons • Job Opportunities • CIA Study Materials • Member Exchange The Common Body of Knowledge (CBOK) Contact Us & Learn More Rochester Chapter IIA website Email [email protected]IIA: Rochester CHAPTER NEWS INTERNATIONAL TOPICS SEMINAR When: Wednesday, March 23, 2011 Time: 7:30 – 4:00pm ** Includes light breakfast and full lunch** Where: Midvale Country Club 2387 Baird Rd Penfield, NY 14526 Cost: $50 for IIA/IMA/FEI members or full-time faculty $80 non-members/guests $30 full-time student CPEs: 7 (seven) hours Speakers: Peter White, Eastman Kodak Robert Stein, Mohawk Global Logistics Sam Farina, Commander, Rochester Police Dept and former FBI agent Marilynne Locke, Harris Corporation Paul Henry, Bonadio Group Timothy Hungerford, Hungerford Vinton, LLC Overview: This event is a joint session between the Rochester Chapters of the Institute of Internal Auditors and the Institute of Management Accountants. The focus of the event is international topics to inform members of current trends and issues, as wells as educate on current processes in global business operations. This training will cover the following topics: • International Tax – Challenges and Strategy (White) • Currency Hedging/Foreign Exchange (Henry) • IFRS Implementation – Updates (Hungerford) • International Travel Security (Farina) • International Business Operations and Foreign Corrupt Practices (Locke) • Export and Import Compliance, and Custom Valuation (Stein) Schedule of Events: • 7:30am – 8:00am Breakfast, Registration, and Networking • 8:00am – 9:00am International Tax – Challenges and Strategy • 9:00am – 10:00am Currency Hedging & FX • 10:00am – 10:15am BREAK • 10:15am – 11:15am IFRS Implementation - Updates • 11:15am – 12:00pm International Travel Security • 12:00pm – 1:00pm Lunch Break • 1:00pm – 2:00pm International Business Operations and Foreign Corrupt Practices • 2:00pm – 4:00pm Export/Import compliance and Custom Valuations . To register go to: http://www.suretomeet.com/exec/gt/event.h,event=7bdb4f37e697 Upcoming Program
Time: 7:30 – 4:00pm ** Includes light breakfast and full lunch**
Where: Midvale Country Club 2387 Baird Rd Penfield, NY 14526
Cost: $50 for IIA/IMA/FEI members or full-time faculty $80 non-members/guests $30 full-time student
CPEs: 7 (seven) hours
Speakers: Peter White, Eastman Kodak Robert Stein, Mohawk Global Logistics Sam Farina, Commander, Rochester Police Dept and former FBI agent Marilynne Locke, Harris Corporation
Paul Henry, Bonadio Group Timothy Hungerford, Hungerford Vinton, LLC
Overview: This event is a joint session between the Rochester Chapters of the Institute of Internal Auditors and the Institute of Management Accountants. The focus of the event is international topics to inform members of current trends and issues, as wells as educate on current processes in global business operations. This training will cover the following topics:
• International Tax – Challenges and Strategy (White)
• Currency Hedging/Foreign Exchange (Henry)
• IFRS Implementation – Updates (Hungerford)
• International Travel Security (Farina)
• International Business Operations and Foreign Corrupt Practices (Locke)
• Export and Import Compliance, and Custom Valuation (Stein)
Schedule of Events:
• 7:30am – 8:00am Breakfast, Registration, and Networking
• 8:00am – 9:00am International Tax – Challenges and Strategy
• 9:00am – 10:00am Currency Hedging & FX
• 10:00am – 10:15am BREAK
• 10:15am – 11:15am IFRS Implementation - Updates
• 11:15am – 12:00pm International Travel Security
• 12:00pm – 1:00pm Lunch Break
• 1:00pm – 2:00pm International Business Operations and Foreign Corrupt Practices
• 2:00pm – 4:00pm Export/Import compliance and Custom Valuations . To register go to:
I would like to thank the 2009 -2010 board members, officers, and volunteers for their outstanding contribution last year and welcome the new leadership team now in place. Last year, we received strong support from our Rochester membership as indicated by the strong turn-out at programming events. We are looking forward to another successful year and have many exciting programs planned that are focused on keeping the skills aligned with emerging trends in our industry. We also wish to continue to grow our membership base this year and ask all members to participate in recruiting new members to our chapter. The best way to accomplish this is through having prospective members attend on of our programming events. Thank you in advance for your support and we look forward to another successful year. Regards, Scott M. Donovan, CIA
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Chapter Achievement Program (CAP) By Dolores Pasto-Ziobro, CAP Chair
The Rochester Chapter participates in the CAP program operated by the Institute of Internal Auditors. There are three program categories – Service to Members, Service to Profession, and Chapter Administration. Chapters work to achieve one of three performance levels – Bronze, Silver, or Gold. The Rochester Chapter has reached the gold level for the past 4 years due to strong leadership and active members. Each year our chapter leaders use the CAP activity chart to assist with planning activities, monitoring progress, and reporting. Members like you help the chapter achieve its goals through committee participation, attendance at educational programs & socials, giving audit-related presentations, and other activities. Please let me know if you give a presentation on an audit related topic so we can report this for CAP points. If you are interested in learning more about the program and how you can help the chapter accomplish its goals please contact me at
Continuing Professional Education (CPE) credits are required for the certifications mentioned below.There is a certification section on the IIA website to report CPEs and therefore keep your license current. PLEASE BE SURE TO CHECK YOUR STATUS AND HISTORY at www.theiia.org. If you have a certification not governed by the IIA, please verify the requirements with that governing body.
Certification Governing
Body CPE Requirements CPE Reporting Requirements/
Reporting Website CIA IIA 80 hours every 2 years - Membership ID’s ending in an even
number: reported in even years by May 31st for the previous 2 calendar years.
- Membership ID’s ending in an odd number: reported in odd years by May 31st for the previous 2 calendar years.
www.theiia.org CGAP IIA 40 hours every 2 years See CIA reporting requirements. If the
individual is also a CIA, can report CGAP and CIA CPE totals together under the CIA designation.
CFSA IIA 40 hours every 2 years See CIA reporting requirements. If the individual is also a CIA, can report CFSA and CIA CPE totals together under the CIA designation.
CCSA IIA 40 hours every 2 years See CIA reporting requirements. If the individual is also a CIA, can report CC SA and CIA CPE totals together under the CIA designation.
CFE ACFE 20 hours every year - 10 hours must be
fraud training - 2 hours must be ethics
training * May carry up to 10 hours of CPE credits earned in excess of the requirement in the previous year over to meet current year requirements.
Required to affirm compliance with CPE requirements for the previous calendar year by February 28th of the following year. www.acfe.com
CPA NYSSCPA 40 hours every year in any recognized subject area - 4 hours must be ethics
training OR
24 hours every year concentrated in one recognized subject area and 4 hours of ethics training. - The 4 hours of ethics
training can be counted towards the 24 hours if the ethics is specialized in the same concentration area.
Required to affirm compliance with CPE requirements for the registration period that is ending on the registration renewal document. www.op.nysed.gov
CISA ISACA 20 hours in any single year AND 120 hours every 3 years
Must be reported by January 15th for the year or 3 year period. www.isaca.org
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Member Sponsored Programs & Activities
Save e Date
The IIA is proud to announce the new year-round, Recruit-A-Colleague membership program. This exciting new program provides quarterly opportunities for you as an individual member and your chapter to be recognized and rewarded! Each quarter, we will be holding a drawing for valuable rewards – and for each new* member you recruit, you will receive one entry. December’s prize is a FREE registration to the virtual seminar of your choice, a $950 value! The chapter with the highest recruitment percentage each quarter will also be recognized and scheduled to receive a complimentary speaking engagement from an IIA representative. Additionally, IIA members who acquire 10 or more recruits during an annual cycle will receive their next membership renewal FREE! To participate in the Recruit-A-Colleague program, please click here to complete the online Recruiter’s Commitment and to obtain the tools and resources you need to successfully communicate the value of IIA membership. The IIA greatly appreciates your commitment to the profession of internal auditing. We continually strive to add value for our members, and we are excited to introduce this new program. Thank you, Carrie Summerlin, CCSA Director, Member Support *To qualify as a new member, new recruits must not have been members in the previous 12 months.
If you give a non-paid audit-related presentation, please contact:
If you have moved in the past year or have changed email addresses, please update your profile on the IIA website. Please follow the steps below to verify/update your profile today. Thank You! 1. Go to www.theiia.org 2. Log in (left side of the screen) 3. Click Update Your Profile (left side of screen) 4. Click Edit and make changes then hit Save (Note: You will have to log in with your IIA membership # and password)
International Professional Practice Framework 2011 The Institute of Internal Auditors' (IIA's) International Professional Practices Framework (IPPF) is the authoritative guidance on the internal audit profession. The IPPF presents current, relevant, internationally consistent information that is required by internal audit professionals worldwide.
3/2011 Joint Event with Institute of Managerial Accountants (IMA)- Topic TBD
TBD 7 TBD
4/27/2011 Internal Audit Workshop (Joint event with WNY IIA Chapter)
Terry Hills Golf 8 TBD
5/2011 Financial Auditing for Internal Auditors
TBD TBD
6/2011 IT Auditing (Joint event with ISACA)
TBD TBD
Program Schedule
Please Review this Schedule and Save the Date for the Next IIA Program!
Training Uplink
www.theiia.org/iia-training
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Training Opportunities.
Conferences IIA Members: Register by February 18 and save US $100! 2011 Gaming Conference April 4 – 6 / Planet Hollywood Resort and Casino / Las Vegas, NV Register early and save! 2011 International Conference July 10 – 13 / Kuala Lumpur Convention Centre / Kuala Lumpur, Malaysia IIA/Deloitte Seminars SAP ERP Technical Audit (IIA/Deloitte) Dallas, TX / March 21 – 24 Auditing JD Edwards (IIA/Deloitte) Costa Mesa, CA / April 4 – 7 Auditing Oracle Applications Costa Mesa, CA / May 2 – 5 Introduction to Auditing SAP ERP Chicago, IL / May 16 – 19
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Training Opportunities Virtual Seminars
Virtual seminars offer all the benefits of traditional on-location seminars from the convenience of your computer. Audit Report Writing March 15, 17, 22, 24 / 2:00 – 5:20 p.m. ET Value Added Business Controls: The Right Way to Manage Risk March 21, 23, 25, 28, 29, April 1 / 3:00 – 5:15 p.m. ET CIA Review, Part III April 4, 6, 8, 11, 13, 15, 18, 20, 22, 25, 27, 29 / 6:00 – 8:15 p.m. ET Enterprise Risk Management: An Introduction April 4, 6, 8, 11, 13, 15 / 3:00 – 5:15 p.m. ET Risk Based Auditing: A Value Add Proposition April 4, 6, 8, 11, 13, 15 / 3:00 – 5:15 p.m. ET
Conferences IIA Members: Register by February 18 and save US $100! 2011 Gaming Conference April 4 – 6 / Planet Hollywood Resort and Casino / Las Vegas, NV Register early and save! 2011 International Conference July 10 – 13 / Kuala Lumpur Convention Centre / Kuala Lumpur, Malaysia IIA Members: Register by July 15 and save US $300! 2011 Governance, Risk, and Compliance Conference August 29 – 31 / Omni Orlando Resort at Champions Gate / Orlando, FL
Training Uplink
www.theiia.org/iia-training
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Members: Advertising your open position is a service that the Rochester Chapter provides
This month there are openings at the following companies: Freed Maxick & Battaglia, PC………………………. Pages 11, 18 Insero & Company CPAs, P.C………………………. Page 12 Reliant Community Federal Credit Union.………… Page 13 Wegmans……………………………………………… Page 16 PAETEC………………………………………………. Page 19
GateHouse Media, Inc..………………………………. Page 21
Independent Health…..………………………………. Page 22
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MANAGER - RISK MANAGEMENT CONSULTING TAKE YOUR CAREER TO THE MAX! Due to explosive growth of our Enterprise Risk, Technology and Financial Advisory Services practices, Freed Maxick & Battaglia, Western New York’s largest public accounting firm, has immediate opportunities in Buffalo and Rochester for Managers, Consulting Services. We are part of RSM McGladrey, the 5
th largest accounting
and consulting firm globally. Responsibilities include:
o Leading Internal Audit engagements, internal control reviews, process improvement reviews, etc. o Leading SOX 404 engagements, including assessments, internal control documentation and testing
of internal controls o Assisting on a variety of other projects including fraud and forensics, staff augmentation, SAS 70’s
and other types of consulting o Working in a multi-client environment as part of a team o Planning and managing consulting projects ranging from small to large o Creatively generating and developing practical recommendations for clients o Consulting on internal control design and operating effectiveness
Requirements of the position:
• Manager level – 5-6 years experience in a public accounting firm or an internal audit department within industry
• CIA or CPA required, other certifications a plus
• Strong knowledge of SOX internal control requirements
• Ability to work effectively on teams, helping clients improve processes
• Effective Project Management expertise required
• Strong interpersonal, verbal and written communication and presentation skills
• Client satisfaction driven attitude
• Willingness and ability to travel approximately 35% mostly within the WNY region Excellent salary and benefit package includes health, dental, vision plans, 401(k) with Firm match. Check
out our website and learn more about Freed Maxick, voted a Best Place To Work in Western New York! EOE To be considered, send cover letter, resume and salary requirements to Larry Hessney or Julie Becht, e-
mail to [email protected] or [email protected]. EOE To be considered, send cover letter, resume and salary requirements to Julie Becht, HR Director, Freed Maxick &
Battaglia, CPAs, PC, 800 Liberty Building, Buffalo, NY 14202, or e-mail to [email protected]. EOE
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Internal Audit Consulting Manager
Firm Profile: Insero & Company CPAs, P.C. has grown into one of the premier accounting and business advisory practices serving companies in Upstate New York. We are more than just a regional accounting firm; Insero & Company is an integral member of the McGladrey Alliance, the national accounting firm association of McGladrey, Inc. and McGladrey & Pullen, LLP. Together, the two companies rank as the fifth largest provider of accounting, tax and business consulting in the United States. We are also a Rochester Top 100 company (2005 and 2009) ranked by Rochester Business Alliance and KPMG LLP. The list recognizes the fastest growing privately held companies with headquarters in or around Rochester, NY. Our people take pride in adding value whenever they work with a client. We hire the most competent people, and we invest heavily in training and technology. We offer excellent advancement opportunities for motivated individuals. Our clients are focused in service, manufacturing, high-tech, telecommunications, real estate and distribution and range from small privately held family businesses to the largest publicly traded entities. If you’re interested in working in a dynamic firm with stimulating assignments and growth potential, this is the opportunity for you. This is a full-time position with our organization located at 1500 HSBC Plaza in Rochester, NY.
• Partner with client management to document existing processes, recommend improvements, design and execute testing programs, and develop and implement remediation plans.
• Act as liaison between client management and external auditors related to internal audit/ SOX matters.
• Supervise work flow of internal and client compliance staff.
• Supervise staff and client internal audit/ SOX testing.
• Review SOX legislation and translating that legislation into practice.
• Identify non compliance related improvement opportunities within client organizations.
• Assist Partners with practice development and management.
• Mentor and develop Internal Audit accountants, seniors, and supervisors. Requirements: Bachelor’s degree in Accounting, CPA license along with audit experience working in Big 4 public accounting firm is required. A minimum of six years accounting experience working in both a Big 4 Public Accounting Firm & in Industry along with a minimum of 3 years supervisory and internal controls (SOX) scoping/planning experience is required. CIA or CISA is a plus. Candidates with accounting/audit experience in wide variety of industries are preferred. Strong problem solving, communication and team building skills are necessary. The ideal candidate must be able to meet deadlines, be proactive and have solid multi-tasking skills. Must be willing to travel up to 20%. Our Benefits: We offer competitive salaries, an outstanding paid time off program, nine paid holidays, 401(k) plan with firm contributions, profit sharing plan, tuition reimbursement program, 100% employer paid parking, choice of health care plan options along with company flexible spending credits and if you don’t need a health care plan you can get $ back into your pay. We offer tremendous growth and development opportunities to assist with both your personal and professional goals.
*Relocation assistance may available.
To Apply: send a resume along with salary requirements to [email protected] All candidate inquires will be kept highly
confidential. For more information on Insero & Company CPAs, P.C., visit our web site at: www.inserocpa.com
Insero & Company is an equal opportunity employer
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RELIANT COMMUNITY FEDERAL CREDIT UNION
Sodus, New York 14551
Position Title: Internal Auditor Department: Administration
Reports To: Chief Financial Officer (Administratively) Supervisory Committee (Functionally) Date: 7/16/10 FLSA Status: Exempt Position Level: Tier 2B
Positions Supervised: None
Position Summary
Organizes, plans and conducts audits of Credit Union activities to determine the adequacy and effectiveness of internal controls to ensure systems are in place to safeguard assets, promote operational efficiency, and ensure compliance with regulatory and internal policies and procedures.
Principal Duties & Responsibilities
The following duties and responsibilities for this position are not all inclusive; others may be required or assigned. 1. *In consultation with Supervisory Committee and Senior Management, develop annual audit schedule,
including Supervisory Committee audit areas and internal audits. 2. *Develop comprehensive internal audit plans which document the objective of the audit, the procedures to be
conducted, the staff/departmental involvement required, and a time budget. 3. *Conduct planned internal audits of systems, departments, functions, and records to verify adherence to
generally accepted accounting principles, and verify the adequacy and effectiveness of internal controls, adherence to internal policies and procedures, and regulatory compliance.
5. *Prior to and in the course of internal audits, maintain written and verbal communication with applicable credit
union staff in accordance with internal audit procedures. Provide clear expectations and due dates in communications.
6. *Discuss with department/branch manager any irregularities or deficiencies in effectiveness of internal controls,
adherence with policies and procedures, or compliance with accounting practices and regulations. Evidence of theft, fraud or serious regulatory violation is to be reported immediately and directly to senior management and supervisory committee.
7. *Prepare formal reports documenting audit procedures and results, setting forth and clearly distinguishing
conclusions as to the effectiveness and efficiency of controls, procedures, and recommendations for improvement; provide reports to supervisory committee, executive management, and relevant senior and departmental management. Distribute written reports in advance, giving committee members and staff adequate time to review material prior to discussions and/or presentations.
8. *Verbally present reports to Supervisory Committee and respond to questions. 9. *Maintain audit workpapers, in accordance with record retention schedule, to evidence the audit work
performed and the material facts supporting the conclusions reported.
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10. *Perform follow-up reviews on the adequacy and effectiveness of corrective action agreed to by Management and documented in the Management Response to internal audit findings and present status reports to the Supervisory Committee. Maintain log of follow up items resulting from audits, and work with management to check status of action items as due dates approach.
11. Upon request, provide input to formulation of procedures for internal verifications, controls and audit trails. 12. In consultation with external auditors, develop plan to assist with confirmation work and other elements of
external audit, as appropriate, and perform the work as planned. 13. Continually look for “best practices” to accomplish internal audit goals and objectives. 14. *Demonstrate accountability, respect, and teamwork, (ART); consistently performing within the context of
Reliant’s philosophy and corporate culture. 15. *Continue professional development through self-training and participation in approved courses, certification
programs, and/or professional organizations. Remain current in knowledge of trends and developments in regulatory requirements, general accounting principles, and audit techniques, reacting quickly to changes to protect the credit union’s interests. Maintain CPE credits for CPA or CIA designation.
16. Conduct special examinations at the request of Senior Management or Supervisory Committee, including
investigation of suspected theft, fraud or other breakdown of control systems. 17. *Maintain high level of confidentiality with member information and other private credit union information;
demonstrate discretion in the manner of addressing employee and management issues. 18. Reports to Chief Financial Officer for administrative items such as work schedule, office space, etc.
*Identifies essential functions of the position.
Position Qualifications
Required Education & Experience 1. Bachelor’s degree in Accounting or related field. 2. CIA or CPA certification. 3. Minimum four years of auditing experience, preferably in a financial services environment. Required Knowledge, Skills and Abilities:
1. Working knowledge of legal issues and compliance requirements related to internal audit; ability to maintain currency with relevant regulatory and financial issues as it relates to the financial services industry.
2. Working knowledge of products, systems, and operations related to financial services industry.
3. Demonstrated interpersonal and organizational skills.
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4. Effective personal computer skills in word processing and spreadsheets (familiarity with Microsoft Office suite preferred).
5. Effective oral and written communication skills.
6. Ability to work independently while supporting a team environment.
Physical Requirements 1. Ability to use keyboard, monitor, telephone, and other standard office equipment. 2. Ability to communicate in person and via phone, email, and written documents. 3. Ability to decipher data contained in documents, reports, spreadsheets, etc., presented both on paper and
electronically. 4. Ability to drive within the credit union’s service area, with valid NY State driver’s license. X:\Human Resources\Job Descr\Internal Auditor.doc HR\S:\Job Descriptions Active\Admin - Internal Auditor Draft Job Description (Tier 2b).doc
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Position: Wegmans - Corporate Job Opportunity – Full time position Senior Internal Information Technology Auditor
Department: Controllers/Finance - Internal Audit Reports To: Internal IT Audit Manager Location: 100 Wegmans Market Street – Rochester, NY 14624 Mail Resume & Cover letter to: [email protected] Status: Full time / Exempt
Note to applicant: This position will require some travel up to 10% time, and will include overnight stays, as necessary
A glimpse at the job:
The role of the Senior Internal Information Technology Auditor is to assist management in effectively meeting company objectives by advising management regarding the effectiveness of company computer systems operations, system controls and the impact these controls may have on financial matters.
I will add value by…
• Performing audit engagements as directed by identifying, analyzing, evaluating, recording and communicating effectively
• Consulting on internal control design and operating effectiveness
• Gathering and interpreting audit evidence and providing effective documentation
• Assisting management in assessing the risks across functional areas
• Perform technical analysis and testing of computer operating systems, computer application systems and computers operations as well as all related technologies to evaluate the efficiency and effectiveness of the internal controls
• Maintaining work papers (traditional and electronic), that documents the audit engagement’s observations, conclusions and recommendations; maintaining work paper summaries and indexing with cross-referencing for supervisory review
• Performing data analysis and testing of application systems data. This would include but not be limited to database tables and other flat files associated with the system under reviewed
• Utilizing data mining processes and techniques to complete the data analysis of Internal Control procedures
• Preparing detailed reports on audit findings, including participation in the development of recommendations to management on the actions to be taken
• Performing technical technology research using external and internal source material.
• Special projects as requested
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What abilities I must bring to the table to be considered:
• Minimum of 4+ years audit experience (internal or external).
• Minimum of 3 to 5 years of analytical experience.
• Bachelors degree in Information Technology, Administration or Finance
• Knowledge of computer operating systems and hardware components across various computer system platforms (mainframe, enterprise servers, windows, mobile)
• Professionalism in handling confidential and sensitive information
• Communication and interpersonal skills necessary to interact with all levels of management
• Desire to achieve professional certification: Certified Information Systems Auditor
• Computer experience using Microsoft products: Excel, Word and PowerPoint
• Continuous Improvement – uses a variety of methods to solve problems; probes all sources for answers; can see hidden problems & solve with effective solutions; implements improvements and measures progress and results.
• Exhibit organizational agility identifying and establishing relationships with people in the company who can get things done and use formal and informal channels effectively
• Cross-functional collaboration: initiate dialogue around different points-of-view to find a common ground; lead interdepartmental teams, facilitating organizational consensus and creating synergies to arrive at the best business outcome
• Effectively deal with ambiguity, handling risk and uncertainty with comfort, maintaining effectiveness in the face of change and acting on decisions without having the total picture
• Use multiple resources to analyze data for abnormal findings, further investigating where warranted and identifying cause-effect relationships impacting the data
• Possess strong listening skills and hear many points of view without bias, asking clarifying questions to check for understanding
• Use available resources to pursue goals and challenges with the intent of achieving results, striving for continued excellence and taking appropriate risks (Managing the 5 Measures)
• Advise others within the organization, as well as external business partners, using relevant knowledge and skills to ensure that sound business decisions are made.
• Use action planning techniques associated with completing tasks including scoping out the length and difficulty of projects, breaking down work into processed steps, managing deadlines and making adjustments for multiple demands.
• Experience with project management, communicating goals and responsibilities to the team being sure to monitor performance against a project plan and effectively applying project controls. Include project stakeholders, team members, and subject matter experts in order to get things done
• Use data analysis, wisdom, experience, judgment, and past actions as well as input from other sources for decision making, always considering the impact on customers, sales and contribution (profit)
• Experience with risk evaluation: proactively identifying areas of potential risk exposure, thoroughly analyzing the situation to ensure the financial investment of a solution makes sense and implementing cost-effective controls to mitigate risk
• Use system thinking to solve complex and difficult problems with effective solutions skillfully questioning multiple sources for answers, seeing the underlying and hidden problems and patterns beyond obvious symptoms to address root causes
What will set me apart from other candidates:
Certified Information Systems Auditor Working knowledge of IDEA software package
All applications will be screened; only those most closely matching the job posting will be interviewed
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SENIOR INTERNAL AUDITORS / SOX CONSULTANTS TAKE YOUR CAREER TO THE MAX! Freed Maxick & Battaglia, Western New York’s largest public accounting firm, has immediate opportunities in Rochester with our rapidly growing Enterprise Risk Management Services group for Senior Internal Auditors / Consultants with IT Audit experience. We are part of RSM McGladrey, the 5
th largest accounting and
consulting firm in the U.S. Responsibilities include:
o Conducting internal audit and IT audit engagements, control reviews, process improvement reviews, etc.
o Conducting SOX 404 engagements, including assessments, internal control documentation and testing of internal controls
o Assisting on a variety of other projects including fraud and forensics, staff augmentation, SAS 70’s and other types of consulting
o Working in a multi-client environment as part of a team o Working independently and leading field engagements. o Identifying and recommending internal audit best practices o Performing various testing procedures and preparing clear, concise and accurate work papers o Creatively generating and developing practical recommendations for clients o Consulting on internal control design and operating effectives o Gathering and interpreting audit evidence and providing effective documentation
Requirements of the position:
• 2-3 years experience in a public accounting firm or internal audit within industry
• CISA preferred, CIA or CPA or CFE would be good
• Strong knowledge of COSO and SOX internal control requirements
• Ability to work effectively on teams, helping clients improve processes
• Change management and project management expertise a strong plus
• Strong interpersonal, verbal and written communication and presentation skills
• Client satisfaction driven attitude
• Willingness and ability to travel approximately 35% mostly within the WNY region
Excellent salary and benefit package includes health, dental, vision plans, 401(k) with Firm match. Check out our website and learn more about Freed Maxick, voted a Best Place To Work in Western New York! EOE
To be considered, send cover letter, resume and salary requirements to Julie Becht, HR Director, Freed
SUMMARY This individual will play a key role in providing assurance that the Company’s business internal controls and general computer controls are operating effectively in accordance with regulatory, operational, and Section 404 requirements of the Sarbanes-Oxley Act. They will participate in and oversee Internal Audit responsibilities. Additionally, they will provide guidance to meet compliance, security and audit requirements. ESSENTIAL DUTIES AND RESPONSIBILITIES include the following:
� Develop and implement a Business and IT audit strategy and plan to review technical systems controls and business processes to identify control weaknesses and communicate significant control and compliance risk to senior management.
� Understand the requirements of the Sarbanes-Oxley Act of 2002 and assist in developing and maintaining internal control processes, along with remediation of findings to help ensure compliance with SOX requirements. Identify opportunities to increase operational efficiencies.
� Perform Internal Audits (SOX, Internal Audits including integration with IT SOX and IT Internal Audits) and prepare clear and succinct work papers and audit reports to document the findings for each audit.
� Responsible for planning and performing audits of information systems and related processes in a multi-platform environment. This may include reviewing organizational IT policies, standards and procedures and providing advice on their adequacy, accuracy and compliance with government guidelines and regulatory requirements (e.g., Sarbanes-Oxley Act); assisting management in the identification and assessment of technology related risks, and reporting on the adequacy of risk-based controls; evaluating technology and business related controls for integrated IT and business auditing efforts.
� Identify, understand, and document processes and procedures surrounding internal controls. Continually monitor, update, and assess the control environment, keeping abreast of significant control issues, trends, and developments.
� Participate in new system development and implementation reviews by reviewing project documentation, conducting interviews, and assessing work completed.
� Ensure that development efforts are in compliance with organizational policies, standards and procedures, and controls are adequately incorporated into the systems; identify areas of opportunity for process, control or cost improvement.
� Work with outside auditors to help reconcile discrepancies or support the external auditing functions and local, federal examinations.
� May be responsible for developing and implementing tools to support automated audit effort. May perform due diligence and special review(s) work as required by management.
� Has working knowledge of generally applicable and accepted auditing standards and framework (e.g., COBIT) and best practices for IT services management (e.g., ITIL), government guidelines and laws (e.g., Sarbanes-Oxley Act).
� Develop solutions requiring analysis and research. � Follow-up to ensure that all agreed recommendations are subsequently implemented. � Responsible for monthly reporting on audits performed. � Provide input for preparing and implementing a risk based audit plan to assess, report on, and make suggestions for
improving the company's key operational, IT, and finance activities and internal controls. Other duties may be assigned.
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DIRECT REPORTS; Is this a management job? Do others report to this job? (yes or no) No
EDUCATION and/or EXPERIENCE Required: Bachelor's or Master's Degree in Accounting, Computer Science, Finance, Information Systems, Business Administration, or other related field. Typically possesses zero (0) to two (2) years of relevant work experience. Typically requires an IT auditing professional designation (e.g., Certified Information System Auditor (CISA)) or accounting professional designation (e.g., CPA, CIA). Zero (0) to two (2) years experience in the following is highly preferred:
o Internal Audit function o Telecom Industry o IT Operations o Accounting, Financial Auditing or Financial Reporting
ESSENTIAL JOB KNOWLEDGE
� Comprehensive knowledge of auditing practices, procedures, and principles, sufficient enough to interpret and analyze complex concepts and apply these in innovative ways
� Responsible for critical work and/or complex projects performed within a broader technical and business context. � Requires technical knowledge, training and understanding of a job's requirements. � Understanding of financial, operational, market, and credit risk � Working knowledge of Generally Accepted Accounting Principles (US GAAP) and Generally Accepted Auditing Standards
(US GAAS) � Possess the experience or ability to learn both the business and IT processes to provide an integrated audit approach to
PAETEC. CERTIFICATES / LICENSES CISA, CIA or CPA designations are highly desirable although not required. However, a certification is important for progressing to higher levels within the department. Membership with recognized auditing and controls organizations preferred (IIA, ISACA, ACFE, ISC2) DESIRED WORK TRAITS & SKILLS; Ability to work independently, computer skills, communication skills, etc… o Capability and desire to evaluate the effectiveness of management in their stewardship of PAETEC’s resources and their
compliance with established corporate policy and procedures including corporate governance and code of business conduct standards
o Strong analytical and effective communication and negotiation skills are critical to the success of this position o Solid interpersonal skills – ability to work closely with people at all levels of the organization o Demonstrated integrity, values, principles and work ethic o Detailed work focus while understanding the big picture objectives o Honesty is critical to be successful o Professional demeanor and the ability to adhere to confidentiality requirements is critical SPECIAL CONCERNS; Travel requirements or work hours (on-call, overtime considerations) Some travel is required, approximately 10-20%; and overtime considerations when appropriate. ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
To be considered, send resume and salary requirements to Megan Volhejn, Internal Audit Manager, PAETEC Holding
• Participate in drafting internal audit reports of findings and recommendations;
• May work with outside auditors to help reconcile discrepancies or support the external auditing function.
Requirements
• Bachelors Degree in Accounting required;
• 1 - 3 years Internal and / or Public auditing experience;
• Strong working knowledge of auditing principles, practices and compliance standards;
• Strong verbal and written communications skills;
• Newspaper experience preferred;
• Ability to travel domestically
Please mail or fax a cover letter, resume, and references to:
Human Resources GateHouse Media, Inc. 350 WillowBrook Office Park Fairport, NY 14450 FAX: 585-486-1253
No phone calls please.
GateHouse Media, Inc. is an Equal Opportunity Employer.
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INDEPENDENT HEALTH JOB DESCRIPTION
Job Title: Internal Auditor, Associate (Staff) Reports To: Director, Internal Audit Division: Finance Description Date: January 2011 Department: Internal Audit
I. General Duties The Internal Auditor, Associate/Staff performs professional internal auditing work. Work involves conducting performance, financial and compliance audit projects; providing consulting services to the organization’s management and staff; and providing input to development of the annual audit plan. Maintains all organizational and professional ethical standards. Works under limited supervision with moderate latitude for initiative and independent judgment.
II. Minimum Qualifications
A. Bachelor’s degree from an accredited college or university. B. Two years of full-time experience in auditing, accounting, business analysis, or program evaluation.
A graduate degree in business administration, public administration, or a related field, or certification as a CIA, CPA, or CISA may substitute for one year of required experience. The combination of a graduate degree and a certification may substitute for two years of required experience. Insurance industry experience is highly desirable.
C. Knowledge of and skill in applying internal auditing and accounting principles and practices, and management principles and preferred business practices.
D. Knowledge of the Standards for the Professional Practice of Internal Auditing and the Code of
Ethics developed by The Institute of Internal Auditors. E. Knowledge of management information systems terminology, concepts, and practices. F. Skill in collecting and analyzing complex data, evaluating information and systems, and drawing
logical conclusions. Ability to interpret complex information and present it in an easily understandable and meaningful format.
G. Skill in planning and project management, and in maintaining composure under pressure while meeting multiple deadlines.
H. Skill in negotiating issues and resolving problems. I. Skill in using a computer with word processing, spreadsheet, and other business software to prepare
reports, memos, summaries, and analyses. J. Skill in effective verbal and written communications, including active listening skills and skill in
presenting findings and recommendations. Must be able to effectively research and communicate
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audit issues and concerns and interact with multiple levels of management. K. Ability to establish and maintain collaborative working relationships with co-workers and external
contacts, and to work effectively in a professional team environment. L. Ability and willingness to adapt to change. M. Ability to work overtime as needed or required. N. Understands the importance of maintaining the physical and technical security and privacy of
protected health information (PHI). Internal Auditor I – Internal Audit III. Specific Duties
• Performs audit procedures, including identifying and defining issues, developing criteria, reviewing and analyzing evidence, and documenting client processes and procedures.
• Conducts interviews, reviews documents, develops and administers surveys, composes summary memos, and prepares working papers.
• Identifies, develops, and documents audit issues and recommendations using independent judgment concerning areas being reviewed.
• Communicates or assists in communicating the results of audit and consulting projects via written reports and oral presentations to management.
• Assists in identifying and evaluating the organization’s risk areas and provides input to the development of the annual audit plan.
• Develops and maintains productive client and staff relationships through individual contacts and group meetings.
• Pursues professional development opportunities, including external and internal training and professional association memberships, and shares information gained with co-workers.
• Represents internal audit on organizational project teams and at management meetings.
• Performs related work as assigned by audit management. IV. Supervision
Not Applicable V. Accountability
The Internal Auditor reports to the Director of Internal Audit. VI. Limits of Authority
