Friday, March 19, 2010
Workshop and Luncheon
NYIIA's
37th Annual Audit Seminar:
"New Decade, New Challenges, New Opportunities"
3-Track Program - Various Topics
Luncheon Presentation - Former Police Commissioner Bratton
Keynote
Luncheon Speaker
William Joseph "Bill" Bratton was the chief of police of the Los
Angeles Police Department (LAPD). He previously served as the New York
City Police Commissioner and Boston
Police
Commissioner.
On September 11, 2009, he was awarded with the honorary title of Commander of the Most Excellent Order of the British
Empire by Queen Elizabeth II.
Bratton is native to Boston, Massachusetts. He attended Boston
Technical High School, graduating
in 1965. From there, he served in the Military
Police Corps of the United States Army during the Vietnam War, returning to Boston in 1970 to start a police career in the Boston
Police Department. He quickly
rose to the rank of lieutenant, and in 1980, at the age of 32 and ten years
after his appointment to the BPD, Bratton was named as the
youngest-ever Executive Superintendent of the Boston Police, the department's
second highest post. Bratton was Superintendent in Chief of the Boston
Police Department from 1991
until 1993, then he became that city's 34th Police Commissioner. He holds the
Department's highest award for valor.
In 1994, William Bratton was appointed the 38th Commissioner of
the NYPD by Mayor Rudolph W. Giuliani. He cooperated with Giuliani in
putting the broken windows theory into practice. He had success in
this position, and introduced the CompStat system of tracking crimes, which proved successful in reducing
crime in New York City and is still used to this day. A
new tax surcharge enabled the training and deployment of around 5,000 new
better-educated police officers, police decision-making was devolved to
precinct level, and a backlog of 50,000 unserved warrants was cleared. The CompStat real-time police intelligence computer system was effectively
introduced and integrated. Police numbers were further boosted in 1995 when New
York's housing and transit police were merged into the New York Police
Department.
The experiences of Bratton and New York Deputy Police Commissioner
Jack Maple were used as the inspiration of the television series The District.
In October 2002, Bratton was appointed as the LAPD's 54th Chief of
Police by the Mayor of Los Angeles, James Hahn. Under Bratton's tenure, crime within the city had dropped for 6
consecutive years. On June 19, 2007, the LA Police Commission reappointed
William Bratton to a second five-year term, the first reappointment of an LAPD
chief in almost twenty years. In March 2009, Councilman Herb Wesson proposed an amendment to
the City Charter, allowing Bratton to serve a third consecutive term as Police
Chief.
On August 5, 2009, Bratton announced that after nearly seven years
he would be stepping down as chief of police for the City of Los Angeles, and
he continued to serve as chief until October 31, 2009.
Your Future’s So Bright, YA Gotta
Wear Shades
presented by Dr. Dan Kneer
The stars have aligned folks, for you to SHINE. The standards (IIA, PCAOB, GAO, COSO and CobiT) all point to the fact that you are incredible resource. (You knew that!) Yes, but we need to FREE YOU from the pedantic to ALLOW YOU TO SOAR.
Dr. Dan is a solution provider…hands on problem solving. In this talk you will integrate you business acumen with management science (think 6 sigma and Operations Research meets Internal Audit).
This talk weaves the promulgated literature into your “freedom”: along the way we’ll visit monitoring, science, integrated auditing and business intelligence. The fact is we need all auditors: operations, SOX, financial, program, fraud and I.T. Perhaps maybe, just maybe, we could connect the dots better?
The current President of the IIA says “while others teach in black & white, Dr. Dan delivers in full color. While others merely tell you what to do: Dr. Dan shows you specifically HOW to do it!”
What’s in it for YOU? How about stronger findings, less travel, less work, more objectivity, value-added to auditee, critical thinking and MORE FUN IN AUDIT!!!!!
Warning: this isn’t some pie-in-the sky “soft” talk…we’ll be knee-deep in T-codes, forensics, stat sampling, math etc. (I’m in the 2009 COSO.) You will get so many new ideas your head will hurt! GET STOKED!
The Swiss Army Knife of Auditing…it’s
Already on your laptop…and you never use it!!!! presented by
Dr. Dan Kneer
Audit
research has proven that Advanced Statistical Analytics is the most efficient and effective audit technique.
Advanced analytics allows you to 1) reduce cycle time, 2) increase “quick
response” audit time, AND 3) lessen your
travel time (as you “bring the data to you”). Further, as you audit by
exception, you will deploy your resources in a more efficient manner. Finally, Advanced Analytics provides for more
robust (and better received) audit findings. Analytics works best with operational data, and thus are highly
applicable for ALL AUDITS and you’ll strengthen the Control Environment and
Reduce Business Risk!
·
Audit
faster… better…Perform TARGETED AUDITING
·
Chase
Solutions (find best practice) ;not just problems (worst practice)
·
Tools are
supported be the promulgated audit standards
·
Eliminate
arguments of auditor bias
·
You’ll be
shown HOW TO DO IT…with ACTUAL BUSINESS CASES
·
Dr. Dan
will show you regression ran on companies in this room
·
His
technique is featured in the 2009 COSO
Who should attend this session: EVERYONE (CFEs, CIAs, CISAs,CPAs ,and
Business Unit Managers)
Warning: you’ll
learn so much here that you head will spin!
The Rise of the New Auditor
Presented by Doug
Burton, Regional Manager, ACL Services Ltd. and Sandra Cartie, Chief Audit
Executive at Bristol-Myers Squibb
Is your internal
audit role evolving? In the race to find risk and add value, there’s a
fundamental shift taking place in Audit today. Technology is playing a major
role in this shift. Learn how automation and comprehensive controls can be the
key to a value-added audit team. Hear why Audit needs to be part of the ‘’inner
circle’’ of business and work in alignment with senior management and learn
ways to make this happen with real-world examples.
Learn how to:
- Extend audit knowledge across the enterprise
- Assess management priorities
·
Leverage technology in all the right
places
- Use quick
wins to build an analytics program
Taking the Offensive Against Fraud, Corruption and
Abuse
Presented by Jonny Frank, PwC
A comprehensive
look at fraud and abuse and the importance of considering these risks in your
audit work, especially in this economic downturn. Included in the presentation
is a detailed discussion of the key elements that should be present in an
organization's anti-fraud framework and the steps that internal audit should
take to build an effective fraud risk assessment.
Chief Audit Executive Panel:
Trends and Challenges
Facing Internal Audit Today and in the Future
Chief Audit Executives discuss the profession with
the objective of:
- Gaining an
understanding of the trends and challenges facing internal auditing today
and in the future.
- Hearing what chief audit executives and audit
leaders think upcoming trends and challenges will be and how to prepare
for them.
Moderator
Rick
Magliozzi, Managing Director– Protiviti
Panelists
·
Michael
J. Fucilli CIA, CFE, General Auditor- Metropolitan Transportation Authority
·
Robert Peiffer, General Auditor- Depository Trust & Clearing Corporation
· Christopher J. Porzelt, SVP, Chief Risk Officer & Head of Internal Audit of Monster Worldwide, Inc.
· Tracy Wych, Managing Director and Head of Internal Audit for Calyon, Credit Agricole
Data Privacy: Competing with Identity Thieves
Presented By Sameer R. Ansari, CISSP, CIPP of Deloitte & Touche LLP
As
data breaches continue to rise in numbers, the presentation will cover the
existing data breach landscape including breach impacts and market
drivers/challenges faced in protection personal data. Identify what is
being done by regulations in various regions around the globe to regulate
protection and use of data, and what the consequences are for violating US and
international privacy law. The presentation will conclude by integrating
regulatory requirements into an Internal Audit plan.
The Internal Auditor as
Presented by Garry Goodall, Principal, Ernst &
Young and Stacey A. Guardino, CPA, Executive
Director, Ernst & Young
In recent years, “getting a seat at the
table” has been one of the primary objectives for Internal Audit
departments. Now that many of you have
it and expectations have grown, are you making the most of this opportunity to
add value and strengthen your relationships at the top of your
organization? Pull up a chair as Stacey
and Garry discuss Internal Audit's multifaceted opportunities and expanded
responsibilities -- and the various ways that you can serve in an advisory
capacity to executive/senior management, the Audit Committee and the
business. Topics for discussion will
include how Internal Audit can have a measurable impact on:
·
The strategic direction of the company
·
The identification and evaluation of
emerging risks
·
The implementation of new technology,
·
M&A due diligence and divestitures
·
Coordination with the Risk Management,
Compliance and Finance functions
·
Coordination with the external auditor