AUDIT TALES

Scott Graham

Informations

• Publié par: Fauv
• Nombre de lectures: 20
• Langue: English

Extrait

AudiTales – IIA San Jose Chapter

November 2009

Editor: Erica Lash www.theiia.org/chapters/sanjose Issue: November 2009 L UNCHEON P ROGRAM TH W EDNESDAY ,N OVEMBER 4 “Chief Compliance Officer Roundtable: L UNCHEON M ENU Partnering with Compliance” TH PanelDiscussionfeaturing: W EDNESDAY ,N OVEMBER 4 David Farrell, VP, Chief Compliance Officer, Yahoo!, Inc Andy Hilton, Associate General Counsel and Chief Compliance Officer, Google, Inc., Harvey Jang, Corporate Compliance Counsel, HP Moderated By: Green Salad Lori Martinez, Director of Ethics and Compliance, VMware A GENDA : Apple Cranberry Salad Registration 11:30am Lunch and Speaker 12:00pm Pasta Salad Door Prizes/Adjourn 1:50pm L OCATION : Roasted Red Potatoes & Steamed  Biltmore Hotel, 408-988-8411 Vegetables  2151 Laurelwood Rd, Santa Clara, CA  (Montague Expressway @101) Lemon Herb Chicken IIA Members $30 Non-members $35 Grilled Tilapia Students, Retirees & Unemployed $25 Dessert and Beverages REGISTRATION METHOD ONLINE: http://www.acteva.com/booking.cfm?bevaID=169093 nd Please RSVP by Monday, November 2 , 2009

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AudiTales – IIA San Jose Chapter

November 2009

P RESIDENT ’ S M ESSAGE Greetings San Jose Members and Friends, Please join us for our next monthly lunch meeting on Wednesday, November 4th, 2009. Our topic will be a roundtable discussion on corporate governance, ethics and compliance moderated by Lori Martinez, the Director of Ethics and Compliance at VMware. She will be joined by panelists David Farrell, Vice President, Chief Compliance Officer at Yahoo!, Inc., Andy Hinton, Associate General Counsel and Chief Compliance Officer at Google, Inc. and Harvey Jang, Corporate Compliance Counsel at HP. Please register online athttp://www.acteva.com/booking.cfm?bevaID=169093by Monday, November 2nd, 2009. Walk-in registration may be limited by space available so pre-registration is strongly advised. This month’s event is expected to sell out. Did you miss our recent CIA Review Course and still need to study for the computer-based Certified Internal Auditor exam? The IIA offers a self-study program viathis Web siteat a $100 discount to chapter members (discounted member pricing of $745 for all parts). Please visit our web sitewww.theiia-sj.orgfor the latest in chapter resources, including speaker’s presentations and materials, when available. As always, I welcome any constructive comments regarding the chapter to build on our past successes and maintain a vibrant chapter that provides value to our members. Joe Cooney President IIA San Jose Chapter [e-mail]

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AudiTales – IIA San Jose Chapter November 2009 TH N OVEMBER 4 ,2009L UNCHEON “C HIEF C OMPLIANCE O FFICER R OUNDTABLE :P ARTNERING WITH C OMPLIANCE ” Topic Description: Compliance, risk management and assurance functions are more inter-dependent than ever. Join us for a roundtable discussion with some of the Bay Area’s most eminent Chief Ethics and Compliance officers. They will be discussing current trends in corporate governance, ethics and compliance along with their perspectives on integrating compliance and other risk management functions and effective teaming with Internal Audit. Panelists: The panel will be moderated by Lori Martinez, the Director of Ethics and Compliance at VMware. She will be joined by panelists: David Farrell, Vice President, Chief Compliance Officer at Yahoo!, Inc., Andy Hinton, Associate General Counsel and Chief Compliance Officer at Google, Inc. and Harvey Jang, Corporate Compliance Counsel at HP Lori Martinez– Lori Martinez is the Director of Ethics and Compliance at VMware. Prior to joining VMware, Lori managed Ethics and Compliance programs at VeriSign, where she designed their Ethics and Compliance program and at Intel. She also served as a Global Program Manager in Internal Audit at Intel. She has been responsible for Code of Conduct Programs, Ethics & Compliance Training, Compliance Risk Assessments, Compliance Program Development and Management, Investigations, Anti-Corruption, Export Compliance and Privacy. Harvey Jang- Harvey Jang is Corporate Compliance Counsel at HP and is engaged in the development and enforcement of processes, policies, and standards to ensure HP is effective in identifying and addressing its legal/regulatory compliance risks. Prior to joining HP, Harvey was Senior Corporate Counsel at Symantec where he was responsible for the implementation of their ethics and compliance program. Before “going in- house”, Harvey was an attorney with Gibson, Dunn & Crutcher LLP and O’Melveny & Myers LLP, where he had a diverse commercial litigation practice which included antitrust, securities class action, and intellectual property matters.

Andrew Hinton- Andy Hinton is the Global Ethics & Compliance Officer and Associate General Counsel of Google Inc. In this role, Mr. Hinton leads the company’s efforts to identify and mitigate compliance risk and to nurture and expand upon the company’s core value of “Don’t be evil.” Mr. Hinton joined Google in November 2006. From 2003 to 2006, Mr. Hinton was the Chief Compliance Officer at two GE Capital financial services businesses. From 1994 to 2003, Mr. Hinton was a federal prosecutor in New York City, focusing on white-collar crime. From 1989 to 2003, Mr. Hinton was a litigation associate at the New York City law firm of Cravath, Swaine & Moore, where he focused on commercial litigation and white-collar criminal defense.

David Farrell- David Farrell joined Yahoo! in June 2007 as the company’s first Chief Compliance Officer and he has been responsible for developing and leading Yahoo!'s Ethics and Compliance Organization. His responsibilities include advising executive management and the Board of Directors regarding business conduct and corporate compliance issues; promoting global awareness and consistent enforcement of Yahoo!'s business conduct policies; establishing resources for employees to identify, report and resolve business conduct issues; and, working with management to coordinate Yahoo!'s global corporate compliance initiatives.

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AudiTales – IIA San Jose Chapter November 2009 S AVE -T HE -D ATE E VENTS IIASacramentoChapterEvent–FraudIssues&AnswersforInternalAuditors th SavetheDate:8am‐5pmonThursdayNovember19 ,2009 Location:DoubleTreeHotel,2001PointWestWay,Sacramento,CA95815 Cost:$175(Member)/$225(Non‐Member) CPE:8 ToRegister:PleaseseeadditionalattachmentinNewsletteremail F ACEBOOK /T WITTER V OLUNTEERS N EEDED The Hawaii, Reno, San Francisco, San Jose, Sacramento and East Bay IIA Chapters (known as District 3) are looking for volunteers to co-administer a District 3 page on behalf of their chapter. This is a great opportunity to reach out and encourage ‘Generation Y’ to become more involved with chapters, and for members to be aware of the events/activities of different chapters. If you are interested, please contact Robert Valenciano [e-mail] more information. D OOR P RIZE D RAWING We would like to thank all of those who participated in the San Jose IIA Chapter annual survey and congratulate the following individuals on winning the iPod Shuffles: Nancy Yuen Henry Pangilinan The winners from the October 2009 meeting: Business Card Holder Michael Chang Wine Chris Gondora Collector Coin Salvador Araiza Please join us at the November 2009 luncheon meeting - make sure to drop your business card in the door prize drawing bowl on the registration table for your chance to win! Page 4 of 11

AudiTales – IIA San Jose Chapter November 2009 CHANGEOFADDRESS If your name, address, title, company and/or job phone information needs to be updated, please let us know by calling Customer Service at International Headquarters [phone]. IIA San Jose Chapter’s Mailing Address: Attention: Karen McCoy, Treasurer PO Box 4962 Santa Clara, CA 95056 M EMBERSHIP M ATTERS The San Jose Chapter's Member Directory (2009) has been posted in the "Members Only/Member Library" section of our chapter's web site. Please maintain accurate information by logging on to the IIA's home web site and Updating your Profile. Welcome to our new and returning members: MiguelMartinPricewaterhouseCooper GloriaNgAppliedMaterialsInc SherrieOsborneSunMicrosystemsInc RajeshRamachandranQuovera,Inc. SpencerStarleyProtivitiInc Notice: IIA Bridge Membership Program for Unemployed Members in the U.S. IIA members in the U.S. who are unemployed due to the current economic environment and are actively seeking employment may apply to The IIA Bridge Membership Program. Program components are: One-time, one-year complimentary individual membership, and Online access only to Internal Auditor Magazine. To qualify for Bridge Membership, you must be an active member of The IIA for the past two or more years and actively seeking employment. To take advantage of this opportunity, you will need to download the application form and submit a written request certifying you are unemployed and meet the qualifications of the program. All documents and any questions about this program should be sent to: [e-mail]-include your current IIA member number.

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AudiTales – IIA San Jose Chapter

President 1st VP / Programs 2nd VP / Seminars Secretary Treasurer Past President Past President

1 2 3 4 5 6 7 8 9 10 11 12

Meeting Registrar Seminars Editor, Historian Program Evaluations Awards and Prizes Hospitality Academic Relations Audit AuditTales Editor Membership Speakers Bureau

November 2009

C HAPTER L EADERSHIP OFFICERS Joe Cooney [e-mail] Meghan McShannic [e-mail] Haoning Yang [e-mail] Wendy Roberts [e-mail] Karen McCoy [e-mail] Ed Pitts [e-mail] Princy Jain [e-mail]

GOVERNORS

Herzel Ashkenazi Susan Insley Wayne Masters Phil Roush Gus Shea Alisanne Gilmore-Allen Tom Austin Lynn Falbo Farah Faruqi Robin Opheim TBD Peggy Wiley

[e-mail] [e-mail] [e-mail] [e-mail] [e-mail] [e-mail] [e-mail] [e-mail] [e-mail] [e-mail] [e-mail]

COMMITTEE CHAIRS

Brian Mark Sandra Koning Robin Opheim Robert Valenciano Robert Valenciano Robin Opheim Lynn Falbo TBD Erica Lash Tonia Bloom TBD

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[e-mail] [e-mail] [e-mail] [e-mail] [e-mail] [e-mail] [e-mail] [e-mail] [e-mail]

AudiTales – IIA San Jose Chapter CPDs Webmaster Meeting Attendance CIA Member Survey

Posting Date: Company Name: Location: Contact Name/Title: Contact Phone: Contact Email: URL: Position Title:

Elvin Lee Andy Wang Brian Mark Claire Gao Robert Valenciano

J OB P OSTINGS

November 2009

[e-mail] [e-mail] [e-mail] [e-mail] [e-mail]

10/28/09 Montgomery Professional Services | Search & Interim Placement Services Santa Clara, CA John Small | Executive Search Consultant 408-510-7014 or 415-724-3879 (cell) [e-mail] www.montgomerypsc.com Senior Auditor ($80-105K base, bonus, stock and full benefits) (see next page for detailed description)

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AudiTales – IIA San Jose Chapter November 2009 Position Description: The position includes SOX, Corporate Audits and External Audit Support Programs. SOX: Assists and supports the organization with design, testing and assessment for Sarbanes-Oxley (SOX) section 404 Compliance. Corporate Audits: Participate in audits of corporate initiatives and operations assigned by management from time to time. External Audit: Perform and supervise, as needed, specific sections of external audit in support of the company's external audit work during interim and year-end audits. Primary Responsibilities: Sox 404 compliance activities, corporate audits or external audit projects. SOX 404 assessments: reviewing controls and helping in designing them, reviewing process narratives, performing walkthroughs, designing testing plans, performing tests of effectiveness, and making assessments. Monitors existing process documentation including: confirmation with process owners that the documentation is current, reviewing amended documentation for processes that have changed, and recommending improvements in internal control where needed. Uses knowledge of Sarbanes - Oxley Act of 2002, AS-5, GAAP, Oracle, Visio and/or a variety of desktop applications. Performs corporate audits and operational audits in support of corporate initiatives as assigned by management from time to time. Helps in identifying areas for corporate and operational audits using analytical techniques. Performs external audits of agreed sections in support of external auditors. Reviews audit work done by other members of the corporate audit team. Communicates audit results and prepares written documentation / reports as they relates to SOX and Corporate Audits; and disclosing all significant deficiencies and issues to management. Contributes to building inter-organizational relationship through interaction and teamwork. Promotes professional and ethical standards. Performs other audit or accounting functions as required.

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AudiTales – IIA San Jose Chapter November 2009 Requirements: Bachelor's degree in Accounting required. CPA Certification or equivalent is highly preferred. Proven ability to achieve results in a fast pace and dynamic environment Working technical knowledge of US GAAP, COSO, PCAOB Auditing Standard 5, risk and controls standards and business process best practices Ability to provide creative recommendations and to work with others, to lead and affect process change and improvement Ability to effectively interact with various levels of management, including functional department managers, directors and executive management Self-motivated and self-directed; must have demonstrated ability to work well with people Ability to multi-task and meet deadlines Excellent communication (both verbal and written) and interpersonal skills; must be able to communicate ideas effectively and concisely with all levels of management Prior work experience with SOX compliance including the use of process maps, development of test plans/remediation plans, SOX communication tools, and compliance reporting BS/BA degree in Accounting, Business or Finance 8+ years overall experience in internal or external audit or finance, with experience in Sarbanes-Oxley preferred Big 4 experience and CPA is required; CIA, CISA or CA certification a plus High technology industry experience preferred. Company Our client. a 300 million international, public company based in south bay Description: (Environmental Space/High Tech/Instrument/Manufacturing) is actively looking for a strong Audit Sr.

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AudiTales – IIA San Jose Chapter November 2009 Posting Date:9/29/2009 Company Name: Riverbed Technology, Inc. Location: San Francisco, CA Contact Name/Title: None provided Contact Phone: None provided Contact Email: None provided URL: www.riverbed.com Position Title: Senior Internal Audit Manager Position Description: Effectively coordinate and assist with the SOX program, including support of the quarterly/annual SOX Section 302 and 404 certification processes Assist in the planning (annual risk assessment, materiality determination, calendar) and determination of design and operating effectiveness Provide technical assistance to functional business areas in development, refinement and documentation of internal controls, Sarbanes-Oxley compliance and business process improvements. Work with business owners to update documentation and control matrices. Perform SOX testing and ensure test results are appropriately documented and communicated Communicate deficiencies, and coordinates and reports on gap remediation and process improvement status Conducts internal audits, including the design and execution of the audit program Develop formal written reports to communicate audit results to management and makes recommendations as appropriate Frequently interacts with functional peer group at all levels, including senior management and external auditors Research and stay current on new technical literature applicable to the internal control process (e.g., PCAOB guidance, SEC, etc.), emerging trends and best practices

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AudiTales – IIA San Jose Chapter November 2009 Requirements: Proven ability to achieve results in a fast pace and dynamic environment Working technical knowledge of US GAAP, COSO, PCAOB Auditing Standard 5, risk and controls standards and business process best practices Ability to provide creative recommendations and to work with others, to lead and affect process change and improvement Ability to effectively interact with various levels of management, including functional department managers, directors and executive management Self-motivated and self-directed; must have demonstrated ability to work well with people Ability to multi-task and meet deadlines Excellent communication (both verbal and written) and interpersonal skills; must be able to communicate ideas effectively and concisely with all levels of management Prior work experience with SOX compliance including the use of process maps, development of test plans/remediation plans, SOX communication tools, and compliance reporting BS/BA degree in Accounting, Business or Finance 8+ years overall experience in internal or external audit or finance, with experience in Sarbanes-Oxley preferred Big 4 experience and CPA is required; CIA, CISA or CA certification a plus High technology industry experience preferred. Company Riverbed Technology, Inc. is a San Francisco Company with excellent salary, options Description: and benefits. We are proud to be an EEO/AA employer M/F/D/V ALL JOB POSTINGS, ANNOUNCEMENTS AND FLYERS ARE FREE OF CHARGE FOR INTERNAL AUDIT AND COMPLIANCE RELATED JOB POSTINGS PLEASE CONTACT [e-mail] SHOULD YOU BE INTERESTED. THANK YOU!

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