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What’s Hot?
ENGAGEMENT!
February 2017 Volume 53, Issue 7
Our February event - Student Night!
Sign up for the March Multi-track event
Notice of our Chapter’s Election
Regards,
Jen Murphy 2016-2017 Chapter President
Following the panel we will have time to network among ourselves as well as with the students. We still have room for you to be involved. Please help sponsor student attendance at the event. We also still have career fair tables available. Please reach out to our academic relations committee chairs with questions (their information is in the contacts section of this newsletter). Also, don’t forget our 7th annual IIA/ACFE Multi-track event is being held March 30th at the Sheraton Westport Chalet. Registration is currently open and the lineup of speakers has been published. This year is already setting up to be our biggest year yet, and we hope many of you will be able to join us at this spectacular event. This month we are also pleased to announce the IIA is putting together a team to walk/run in the Cinco K Mayo 5k Run/Walk supporting the Race to Cure Lymphoma. We hope many will be able to join us for this fun social event allowing us to also give back to our community. See the article on page 4 for further information. I hope to see many of you at our future
IIA Meetings and events!
St. Louis IIA Members – The second half of our chapter year started off strong. In January we started with our two hour ethics meeting. Our speaker was Nathan Mueller. A former CPA and Director of Education for John D. Freeman CPA, Ltd. Nathan spoke about the $8.5 million fraud he committed over the four years while working for ING. After being caught, he pleaded guilty and was sentenced to 97 months in federal prison and was released in September 2014. Nathan told the story of his fraud as well as the consequences of the fraud for both himself and his family. Nathan also answered questions from members about what could have been done differently to prevent the situation from escalating to such a scale. Overall Nathan was a very good speaker and provided valuable insight to those present. This month we have our annual student night event. This event is a wonderful opportunity to meet future internal auditors from local area schools. Following up on last year’s event we will be having a panel of local professionals who will speak about their experiences and answer
questions for the students.
President’s
Message What Else is
Inside?
5k Event in May 4
January Recap 5
Community Corner 5
Protiviti & Social Media 6
New CIA Certifications 6
Rubin Brown 7
NIU’s CIA Prep Program 8
Program Calendar & QAR 9
EBS Recruiting 10
CAP Points 11
Brown Smith Wallace 12
Chapter Contacts 13
CAP Form 14
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Student Night – This Month! There is still time to sign up for our Annual Student Night Event. It is set for Thursday, February 16, 2017 at the Hilton Frontenac with registration beginning at 5:00 pm. This event provides students an opportunity to network with professionals from a variety of auditing backgrounds and to learn more about opportunities within the profession. There will be refreshments, time for networking, recruiting and a panel of professionals to discuss leadership in the internal audit profession. We will also be announcing our $1,000 Accounting Scholarship winner at the event. The attached link will bring you to our scholarship application. The application process is open until February 06, 2017. We will continue the opportunity for Student Night sponsors. This opportunity allows your company the ability to recruit for interns or full-time positions as well as advertise. We will be recognizing our company sponsors in our newsletter and at the event. $40.00 – To reserve a table for recruitment. Sponsorship Levels with a minimal cost of $35/student include: Platinum (6 students) $210 Gold (4 students) $140 Silver (2 students) $70 Thank you. Co-Chairs: Besa Dibwe [email protected] Jerri Carrier [email protected]
Volunteers Appreciated! We need your help in making this event a success! Please sign up for Student Night and participate in networking with potential future internal auditors! Contact Besa Dibwe at (314) 445-0076 for further details.
Thank you Student Night Sponsors and Recruiters
BDO – Gold Nestle – Gold
Brown Smith Wallace – Gold Protiviti – Platinum
EBS Recruiting – Sliver RubinBrown LLP – Gold
Edgewell – Platinum Scottrade – Silver
Isle of Capri Casino’s – Sliver Spire Energy – Gold
KPMG – Gold Washington University - Gold
Morgan Franklin Consulting – Platinum Wells Fargo - Platinum
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Join Us for the 7th Annual IIA – Multi-Track Conference
Co-hosted with ACFE
March 30th, 2017 - 7:30am- 5:00pm -- Sheraton Westport Chalet
Scheduled Keynote Speakers Don Rabon, CFE
Don will offer expert advice in the area of interviewing and interrogation. His skills were perfected at the Investigation Center of the North Carolina Justice Academy where he served as manager for 20 years. He was celebrated as the Certified Fraud Examiners Association 2011 Speaker of the Year.
Visit his LinkedIn Page for more information: https://www.linkedin.com/in/donrabon
Sherron Watkins, CPA
Sherron was the Vice President of Corporate Development at Enron in early 2001. She is known as the Enron Whistleblower for her part in alerting CEO at the time, Ken Lay, of the questionable accounting decisions that were being made by the company. She was called to testify at the Congressional Committee investigations into Enron in 2002. Sherron will address the topics of leadership and ethics in business and share her unique story. Visit her LinkedIn Page for more information: https://www.linkedin.com/in/sherronwatkins
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Conference Objectives Network with other industry leaders in sessions and through keynote presentations.
Through customized training tracks you will:
Enhance Auditing Skills
Explore New Fraud Trends and
Detection Techniques
Professional Development in
Soft Skills
_________________________________
Registration Information 8 CPE Hours
Early Registration Date 1/31/16
Early Registration Pricing: Member: $250 Non-Member: $285
Standard Registration Pricing: Member: $280 Non-Member: $320 Full Time Students: $120 Closing Session Only: $50
Click here to register
New! See Page 15 for the schedule & Page 16 charitable fundraiser
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Notice of IIA Election Pursuant to the By-Laws of the St. Louis Chapter of The Institute of Internal Auditors, formal thirty-day notice is given. Steve Wang, Board of Governors Human Resource Committee Chairman, is announcing the following slate of nominations for Board of Governors and Chapter Officers for the 2017–2018 chapter year: Board of Governors For the 3-year term expiring June 30, 2020 Dawn Dossett (Scottrade) Gail Peters (Washington University) John Saric (Federal Reserve Bank of St. Louis) Kate Turner (Spire) Steve Wang (Protiviti) Officers President – Regina Jones (TricorBraun) First Vice President – Suzanna Ney (Tropicana Entertainment) Second Vice President – Christina Rousseau Treasurer – Nathan Croll (RubinBrown) Secretary – Amy Ribick (Brown Smith Wallace) Election of the Board of Governors and Chapter Officers will be held at the multi-track event on March 30, 2017. The vote will take place during the end of the day. Nominations will also be taken prior to that day and from the floor on the day of the election. The votes will be tabulated the day of the election and nominees will be elected by the majority of votes. If anyone has any questions prior to the election, please contact Steve Wang (314.656.1744) at [email protected] or Brian Dobrynski (314.875.1228) at [email protected].
Community Event - Cinco K Mayo
As part of our chapter’s spring community outreach initiative, we would like to form a team for the Cinco K Mayo 5k Run/Walk to support Race to Cure Lymphoma. This will be a great way to network
with your peers in a social setting!
The event is Sunday, May 7th at 7:30am in downtown Webster Groves. Proceeds from this race fund a scholarship program to benefit cancer surviving counselors at the Camp Rainbow Foundation.
Since we are forming a team we are coordinating registration off-line. The discounted cost is $30. And, the chapter is offering to pay for registration for the first 20 IIA members who sign up! Team sign-up is due by April 1st. All participants are required to sign the Team Form to be submitted to the race. The
form will be available at the Registration table at the February and March meetings. If you would like to register and cannot attend the meetings, please send an e-mail to [email protected] for
coordination of fee collection and obtaining your signature on the Team Form. You can either walk or run the race.
The registration fee includes a free a Breakfast burrito and margarita served by Milagro Modern
Mexican. You will also receive a custom designed CINCO K MAYO T-shirt and a special edition CINCO K MAYO shot glass upon finishing the race. For additional details about the event, see
http://www.racetocurelymphoma.org.
Please contact Rhonda Travers if you have any questions.
FOCUS IIA NEWSLETTER PAGE 5
January Ethics Meeting Recap
This year, the IIA’s January ethics meeting took place at the Hilton Frontenac. Nathan Mueller, Director of Education at John D. Freeman, and former CPA, described his involvement and lessons learned from a nearly $8.5 million fraud spanning over four years. Nathan explained how his fraud somewhat began accidentally – when he realized he could authorize checks up to $250,000. In Mueller’s small accounting department, employees often shared credentials and logged on as someone else to get the job done. He explained his fraud scheme – he would log in as someone else, request a check, then log back in as himself to approve his own request. He described how his fraud started with a $1,100 check to pay off credit card and student loan debts, but then spiraled out of control to fund a lavish lifestyle and a passion for gambling. Nathan also explained how he concealed his fraud – both on the business side (he hid the debits in specific ledger accounts) and on a personal level (claimed he had gambling successes). He concluded his presentation by talking about how he was caught, convicted, and the ethical struggles with which he dealt during his sentencing and prison time. He also stressed the importance of certain controls (system access, fraud awareness training, etc.) as they could have ultimately prevented his fraud. At the end of his presentation, there was a very open and honest Q&A session.
Dessert First begins with a tasting of Girl Scout Cookie-inspired desserts prepared by local chefs before a seated dinner.
All proceeds from Dessert First support Girl Scouts’ leadership development programs that build girls of courage, confidence and character who make the world a better place. Register – http://www.girlscoutsem.org/dessertfirst ** Please indicate Rhonda Travers/IIA table in the Guest/Seating Information field when registering if you wish to sit with other IIA members.
Thank You! We would like to thank everyone who
supported our winter community outreach with the Ronald McDonald House Charities
of St. Louis at the January Meeting. We collected $65 in cash donations, 10 boxes of storage bags, 2 big bags of toiletries, 1
bag of cleaning supplies, and 1 bag of food!
FOCUS IIA NEWSLETTER PAGE 6
Join Our Community!
Become a Member Today
Visit Our Facebook Page
Join Our Linkedin Group
Follow Us On Twitter @IIASTL
Subscribe to Our RSS Feed
Social Media Update
Lisa DeClue was the only participate who
shared a #2017Goals. Lisa will complete a
Spanish conversation class to become
more fluent for an upcoming business trips.
In support of student night this month,
share something you learned in college
that you still use to this day. For your
participation, you will have a chance to
win a $25 Amazon gift card. Use hashtag
#IIAStudent
New Certified Internal Auditors!
Danielle Roberts – January 3rd Samra Cordic – December 20th Maaren O’Keefe – January 10th
FOCUS IIA NEWSLETTER PAGE 8
See our St. Louis IIA Chapter’s Website for further detail!
FOCUS IIA NEWSLETTER PAGE 9
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IIA - St. Louis Chapter
2016-2017 Programs Calendar
Month Date Meeting
Type CPE Time Location Speaker Topic / Notes
February 2/16/2017 Meeting 1 5 PM-
7:30 PM Frontenac Hilton Panel-Various Student Night
March 3/30/2017 Multi-track Conference
8 8 AM – 5 PM
Sheraton Westport Chalet
Various IA, Soft Skills and
Fraud Tracks
April 4/6/2017 Roundtable 1 7:30 AM – 9 AM
TBD Sean Kulczycki,
Director Protiviti
Regulatory Research for
Internal Auditors
April 4/20/2017 Meeting 1
8 AM – 9 AM Sheraton
Westport Chalet Rob Mainardi Report Writing
Seminar 7 9 AM – 5 PM
May 5/18/2017 Finale 1 4 PM – 8 PM
TBD TBD TBD
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IIA’s Quality Assurance Review Committee If you feel your IA shop can benefit from a ‘fresh set of eyes,’ contact me at:
David L. Richert, Jr. CPA, CIA Stifel Internal Audit Director One Financial Plaza | 501 N. Broadway St. Louis, MO 63102 314 342 3831 E-mail: [email protected]
Internal Audit (IA) performs as the eyes and ears of management, providing compliance, risk, assurance and operational coverage of the enterprise. But who audits the auditors? Why would auditors want to be audited? The consistent application of the principles of the IIA’s Quality Assurance and Improvement Program (QAIP) is a goal for each IA shop. Converting this goal into practice and affirming the success of the QAIP can be realized by an independent assessment performed by a ‘fresh set of eyes’- experienced professionals who offer independent, objective evaluation services to an IA shop. Also, if you would like to become that ‘fresh set of eyes,’ volunteer. And lastly, these assessments earn CAP points for our Chapter!
FOCUS IIA NEWSLETTER PAGE 11
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Enter CAP Points
The Chapter wants to achieve Platinum status again and we need your assistance…
If you have recently performed a speaking engagement, employed an intern, or written an article for a professional magazine or newsletter please complete the form at the end of this newsletter or better yet go to the chapter website and complete the on-line form “Enter CAP Points” tile under Quick Links or at… https://secure.blueoctane.net/forms/AUYKXNT9ZAT0
Platinum Pursuit
886 CAP points have been
earned as of January 30th
Check out our
“Quest for Platinum”
status every month!
Chapter Achievement Program (CAP) CAP is the acronym for Chapter Achievement Program. The program has been established on the premise that the basic mission of the chapter is to serve its members first and then the internal audit profession. The program, sponsored by the International IIA, encourages local chapters to be active both for the benefit of the chapter members and of the local community. Local chapters earn credits for the CAP through in the following categories: a) service to members; b) service to the profession, and c) chapter administration. The Chapter Achievement Program is made up of three performance levels: bronze (685 credits), silver (1,060 credits), and gold (1,560 credits). Thanks to your efforts, our chapter has attained gold status every year since 1997. After ten consecutive years of achieving gold, a chapter achieves Platinum level which this chapter has earned since 2006. So what can a member do to earn CAP points for the chapter? Examples, include:
Attend the monthly chapter meetings; Attend chapter sponsored seminars; Utilize the chapter sponsored Certified Internal Auditor (CIA) review course; Earn an IIA certification; Develop questions for the CIA exam; Recruit new members; Present speeches or training sessions; Write internal audit-related articles for publication; Provide an internal audit internship at your company for a student; and Come up with an innovative way to promote the chapter
So, it's easy to contribute and it doesn't take too much of an effort. You can report CAP activity on the chapter website or directly to the CAP Chairperson Brent Statler at [email protected].
GOLD Level 1,560
CAP points
SILVER Level 1,060
CAP points
BRONZE Level 685 CAP points
FOCUS IIA NEWSLETTER PAGE 13
Page 16Chapter Contacts 2016-2017 Chapter Officers St. Louis Board of Governors
President Jennifer Murphy Protiviti (314) 656-1729 [email protected]
Executive Committee Diane Cody Ernst & Young (314) 290-1210 [email protected]
1st Vice President Liaison Rhonda Travers Scottrade (314) 965-1555 x2918 [email protected]
Education Committee Gail Peters Washington University (314) 362-4915 [email protected]
First Vice President Regina Jones TricorBraun (314) 539-8006 [email protected]
Executive Committee Rick Feldt RubinBrown (314) 290-3220 [email protected]
2nd Vice President Liaison Kate Turner Laclede Gas Company (314) 342-3334 [email protected]
Education Committee Ted Flom Brown Smith Wallace LLC (314) 983-1294 [email protected]
Second Vice President Suzanna Ney Lumiere (314) 881-7711 [email protected]
Executive Committee Ron Steinkamp Brown Smith Wallace LLC (314) 983-1238 [email protected]
Secretary Liaison Debbie Schultz Federal Reserve Bank of St. Louis (314) 444-8927 [email protected]
Human Resources Committee Brian Dobrynski Wells Fargo (314) 875-1228 [email protected]
Secretary Nathan Croll RubinBrown (314) 290-3484 [email protected]
Executive Committee John Saric Federal Reserve Bank of St. Louis (314) 444-8713 [email protected]
Treasurer Liaison Dawn Dossett Scottrade (314) 965-1555 X1203 [email protected]
Human Resources Committee Steve Wang Protiviti (314) 656-1744 [email protected]
Treasurer Christina Rousseau Wells Fargo (314) 875-1414 [email protected]
Audit Committee Kevin Dillon St. Charles County (636) 949-7455 [email protected]
Promotions Committee Tony Taylor Silgan Plastics (314) 523-4311 [email protected]
Ex Officio Member (NACRC) Jason Minard Wells Fargo (314) 875-2203 [email protected]
Chapter Committee Chairs
Academic Relations - Co Chair Jerri Carrier Wells Fargo (314) 875-1411 [email protected]
Budget and Finance – AP & AR John Drury and Adam Rouse RubinBrown & BSW (314) 290-3250 & (314) 983-1266 [email protected] [email protected]
Newsletter Kelly Finke & Josh Done AT&T & Lumiere Place (314) 534-8160 & (314) 881-7439 [email protected]
Roundtables Jose Urbaez Deloitte (314) 202-0429 [email protected]
Academic Relations - Co Chair Besa Dibwe Centene (314) 445-0076 [email protected]
Certifications Paul Renner Protiviti (618) 604-1757 [email protected]
Programs Evan Gruenkemeyer Protiviti (314) 656-1747 [email protected]
Social Media Tamika Clay CHAN Healthcare (314) 802-2035 [email protected]
Advertising Nandini Parchure Spire Energy (314) 342-3364 [email protected]
Chapter Achievement Brent Statler St. Charles County (636) 949-7455 [email protected]
Promotions Brian Dobrynski & Ted Flom Wells Fargo & BSW (314) 875-1228 & (314) 983-1294 [email protected] [email protected]
Webmaster Aaron Thorne Graybar Electric Co. (314) 573-9535 [email protected]
Attendance and Membership Mark Boheim Protiviti (314) 656-1758 [email protected]
Directory Amy Ribick Brown Smith Wallace (314) 983-1347 [email protected]
QAR Dave Richert & Tim Grace Stifel & MorganFranklin Consulting (314) 342-3831 & (314) 623-8216 [email protected] [email protected]
Attendance and Membership Inessa Spring St. Louis County Government (314) 882-5688 [email protected]
Multi-track Event Kelly Sendelbeck Protiviti (314) 656-1736 [email protected]
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Platinum Pursuit
IIA–St. Louis Chapter
Report of CAP Activity
NAME: __________________________________________________________________
COMPANY: ______________________________________________________________ PHONE NUMBER: _________________________________________________________ TYPE OF ACTIVITY: (speaking, editorials, articles, research, student internships, etc.) _________________________ TOPIC: (please attach agendas, articles)_____________________________________________________________ LENGTH OF PROGRAM (# CPE hours):________________________________________ DATE OF ACTIVITY: _______________________________________________________ LOCATION (city/state or country): _____________________________________________
DESCRIPTION / OTHER INFORMATION: ______________________________________ __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
Please send, fax, or e-mail to:
Brent Statler St. Charles County Government
201 N. Second St. RM 526 St. Charles, MO 63301
Phone: 636-949-7455 Ext 1
Fax: 636-949-7467 [email protected]
Activity can also be reported via the Chapter website
FOCUS IIA NEWSLETTER PAGE 15
7th Annual IIA – Multi-Track Conference Event Schedule
Time Session Locatio
n Speaker Topic
7:30 - 8:15 Breakfast /
Registration
Ballroom
Chapter Presidents and Conference Chair
Welcome and Announcements
Welcome/Opening Comments - IIA & ACFE St. Louis President
8:15 - 10:00 General
Don Rabon, CFE - President of Successful
Interviewing Techniques
Interviewing Skills for Internal Auditors and Fraud Investigators
10:00 - 10:30 Break
10:30 - 11:45
Audit Skills Breakout
Angela Witzany, CIA, QIAL, CRMA, IIA
Chairman of the Board Audit Never Sleeps
Fraud Breakout
Ken Kibort, CPA, CFE, Adjunct Business
Advisor, SIUE Liar Liar Pants on Fire: A Menagerie of Lies
Soft Skills Breakout Allie Irwin, Engineered
Conversations How to Tell if You Are Getting the Whole Story
11:45 - 12:45 Lunch
12:45 - 2:00
Audit Skills Breakout
Dr. Albert Marcela Jr, PhD, CISA, CISM,
Professor of Management - Webster
University The Cyber Forensics Process: Fostering Stronger Anti-Fraud
and Internal Control Practices
Fraud Breakout
David Buehrle, Supervisory Special
Agent, Compliance and Investigation Bureau,
Missouri Department of Revenue
Financial Fraud in the Automobile Industry
Soft Skills Breakout
Jan Torrisi-Mokwa, Founder Congruence,
Inc Building Career Equity
2:00 - 2:15 Break
2:15 - 3:30
Audit Skills Breakout Mark Takacs, Executive
Director, EY Robotics Process Automation and Internal Audit
Fraud Breakout
Lamar Pierce, PhD, Associate Professor of
Organization & Strategy, Washington
University
Behavioral Foundations of Fraud and Misconduct - Fraud and other types of misconduct are often represented as the work of a few bad people, when in fact most individuals are capable of bad
actions when under the right (or wrong) circumstances.
Soft Skills Breakout
Ron Tanner, Principal - Brand Manager
Business Development Relationship Management
Marketing - Confluence Business Advisors
Soft Skills Make All Things Possible…. Or Not!
3:30 - 3:40 Break
3:40 - 4:55 General /
Close Ballroom
Sherron Watkins, Enron IA
The Courage of Your Convictions: The True Story of Sherron Watkins, the Heroine who exposed the Enron Debacle
4:55 - 6:30 Networking Reception / Closing Remarks
Refer back to Page 3 for Event Overview
FOCUS IIA NEWSLETTER PAGE 16
7th Annual IIA – Multi-Track Conference Charitable Fundraiser
The mission of KidSmart is to empower children in need to succeed in school by providing
free essential tools for learning. More than 90,000 St. Louis area students are living in
poverty and attending a high poverty school.
Since opening in 2002, as the first free educational supply store in Missouri, KidSmart has distributed more than $48 million
in school supplies to more than 150,000 economically disadvantaged children in the area.
The KidSmart free store is a community supported resource which transforms surplus and new product from corporations and
individuals, into educational tools for Pre-K through 12th grade children who are at the greatest risk of failing in our schools.
Teachers from eligible public and non-public schools "shop" for free each month of the school year, August-May, for
supplies their students desperately need. With your help today we can paint a bright tomorrow for thousands of area kids in
need.
You can help make a difference in the lives of these children! The need for school supplies is year-round as many of the top
needed items are consumable throughout the year. To help kids finish the year with these much needed supplies, below are
the most consumable and top needed supplies:
Paper Pencils Crayons
Markers Glue
For more information about the organization, you may visit their website at http://www.kidsmartstl.org/