Opening Keynote: The Pathway to Become a CAE: Panel Discussion

Transcription

1 8:15 9:15 AM Opening Keynote: The Pathway to Become a CAE: Panel Discussion Facilitator: Jingwen (Grace) Wu, CIA Risk & Governance Compliance Office Silicon Valley Bank Panelists: Karen Brady, CIA, CRMA Vice President and Chief Compliance Officer Baptist Health South Florida Dominique Vincenti, CIA, CRMA Former Vice President, Internal Audit and Financial Controls Nordstrom The path to becoming a chief audit executive may differ for many, but there are skills that Emerging Leaders must develop if they aspire to the C-suite. Discover the career paths of two CAEs and learn the technical and soft skills needed to take on greater internal audit leadership roles. Discover various internal audit career pathways and the value of certification for internal auditors. Understand the mindset and technical and soft skills that an Emerging Leader needs to develop to be promoted and eventually become a CAE. Learn ways to develop their skills now and provide greater contributions to their internal audit departments. Discuss the value of volunteerism, mentorship, taking risks, and overcoming fear and setbacks.

2 Jingwen (Grace) Wu is chair of The IIA s North American Young Professionals Task Force. With five years of experience as an internal auditor and compliance professional, she is a compliance officer with the corporate compliance and risk and governance group at Silicon Valley Bank (SVB). Previously, Wu was a senior auditor with ebay internal audit and an advisory consultant at Deloitte & Touche LLP, serving clients across various sectors, including financial services, energy, and high tech. Karen Brady has been with Baptist Health for more than 20 years, and has implemented a robust, world-class, and award winning compliance and internal audit program. Under her leadership, Baptist Health has been recognized by the Ethisphere Institute as one on the World s Most Ethical Companies for the past six years. Brady began her career with Ernst & Young, serving in various executive positions within the hospitality industry, including controller and CAE. She has served as a volunteer leader of The IIA as a member of both the North American and Global Boards. Brady is past president of the Florida Health Care Compliance Association and serves as the chair of the Finance Committee on the Board of Riverside House, a charitable organization. Dominique Vincenti, in her last position and for almost 9 years, was the VP of internal audit at Nordstrom, a Fortune 250 Company and one of the US leading Fashion Specialty Retailer. Her 20 years of experiences includes internal audit management positions principally in the retail industry for prominent international retailers: Marks & Spencer UK or Kering (former PPR) France (Gucci, Yves Saint Laurent, Alexander McQueen, Balenciaga, Stella McCartney, Puma etc. ). For 6 years prior to joining Nordstrom she was a Chief Officer at The Institute of Internal Auditors where she was overseeing the organization's professional, research and technical practices, developing guidance or representing the internal audit profession working on Governance Risk & control issues, closely with other professional, national or international institutions and regulators such as the US Securities and Exchange Commission, International Organization of Supreme Audit Institution, the International Federation of Accountants or the OECD to name a few. 9:30 10:30 AM Applying Analytics as a Core Audit Capability Eugene Joung Senior Director PayPal

3 Ryan Kastner Global Head of Audit Analytics PayPal Data is changing the way our business partners operate, decide, and lead. Used properly, it is allowing businesses to operate faster, smarter, and stronger. This session will share with you how internal audit can apply the use of data analytics and evolve it into a core capability that will unlock efficiencies, add meaningful impact, and demonstrate value in our program. Determine how to consider the use of data in an overall audit program. Learn from examples of how to use data analytics across multiple project types. Understand how to avoid potential pitfalls in effectively leveraging data. Gain insight on the path forward in making data analytics a core capability and more. Eugene Joung is an internal audit executive with more than 20 years of global experience building and leading multi-functional global audit teams in the finance and technology industries. Having started in the profession as IT auditor, Joung has expanded his risk and controls capabilities to cover financial, operational, and compliance areas. In his current position at PayPal, he oversees a broad range of internal audit leadership responsibilities spanning finance, compliance, and technology. Ryan Kastner has over 20 years of progressive leadership experience covering internal audit, regulatory compliance, enterprise risk management, and business intelligence in financial services, with an emphasis in audit analytics and the payments industry. He has held both U.S.- centric and global roles at PayPal, First Data Corporation, and First National of Nebraska Inc. 10:45 AM 12:00 PM How to Develop IA Functions and Lead IA Teams Effectively Abhi Pandit, CPA, CISA Head of Internal Audit Splunk Inc. Garrett Wade, CPA Head of Internal Audit Twitter

4 This session will provide insights and real-world examples of how to develop and build a worldclass internal audit function, from initial startup to steady state. Understand the fundamental requirements of an internal audit function. Learn how to build a world-class team. Gain an understanding of the importance of stakeholders and relationships. Discover where internal audit can add value. Abhi Pandit leads a team responsible for developing and executing overall strategy for appropriate assurance, risk, advisory, and compliance services to support Splunk s financial reporting, technology, and operations functions and enable management to manage key risks, achieve business objectives, and enhance and protect organizational value. Pandit joined Splunk after 16+ years at Adobe, where he was the senior director of risk, advisory, assurance, and cloud technology compliance and worked closely with the finance, technology, sales, legal and operations functions. Earlier in his career, Pandit worked at various audit and consulting firms, including Deloitte s enterprise risk services group, providing advisory, audit, compliance, product development, and product management services. Garrett Wade is currently the head of internal audit at Twitter, having joined in mid He previously spent time as head of internal audit at FireEye, a cybersecurity company, and at Informatica, a data integration software provider. In both fast-paced and high-growth companies, Wade started up a function covering SOX and operational audits, and contributed to corporate compliance initiatives. To do so, he called on his 15 years in the risk advisory practice of Ernst and Young LLP. Wade enjoys the challenge of responding to the constantly changing nature of the internal audit practice. 12:30 1:05 PM Lunch Presentation: Leveraging Young Professionals: Fireside Chat Facilitator: Krystle Aguirre, CISA Senior IT Auditor Southwest Airlines Panelist: Katherine Findlay Vice President, Internal Audit Southwest Airlines

5 Krystle Aguirre has been in the audit profession for six years and is a senior auditor at Southwest Airlines. She is passionate about the profession and was featured in Internal Auditor magazine s 2015 Emerging Leaders. Aguirre has served on the Secretary s Committee for the Dallas chapter of The IIA for the past three years. She is also a member of The IIA s North American Young Professionals Task Force, where she serves as a member of the Professional Development Subcommittee. Katherine Findlay joined SWA s internal audit group in 1993 before moving into the finance organization as director of maintenance finance and budgets. Since that time, she has led both financial and operational groups, and returned to internal audit, which champions compliance and offers practical solutions to improve business operations and assist in corporate governance, in Findlay has received SWA s prestigious Leading by Example and Winning Spirit awards. Prior to joining SWA, she was a financial auditor at Ernst & Young. Findlay is member of the University of Texas at Dallas (UTD) Internal Audit Education Partnership (IAEP) Advisory Board as an advocate for the profession, continuing to host students and visitors as they explore careers in internal auditing. 1:15 2:15 PM Cybersecurity and the Evolution of the Internet of Things Jason Hunt, CISA, CISSP Advisory Senior Manager Deloitte & Touche, LLP During this session, we will discuss the broad uses of the IoT and the reason organizations are investing in their digital strategies. We will delve into the security risks created, approaches to mitigating these risks, and what we can do as internal audit professionals to get out front and add value for our organizations. Understand what the IoT is in an enterprise setting. Recognize the benefits of the IoT for their organizations. Enhance their understanding of security risks created when provisioning IoT devices. Learn risk mitigation strategies and suggested approaches for performing IoT audits.

6 Jason Hunt is a senior manager in Deloitte & Touche LLP s advisory practice with over 12 years of professional services experience. His background has spanned internal and external audit in addition to cyber risk. He is a specialist in identifying risk and evaluating IT environments supporting complex business processes. Hunt developed extensive proficiency with security practices through work performed for a portfolio of multinational clients. While leading the design and rollout of Deloitte s operational technology assessment models and remediation approaches, he developed advanced capabilities in Industry 4.0 and the Internet of Things (IoT). His IoT experience has focused on securitization of connected systems designed to improve overall operational effectiveness and efficiency across several industries. 2:15 2:45 PM Roundtable Breakout Discussions Facilitators: Krystle Aguirre, CISA Senior IT Auditor Southwest Airlines Valentina Kostenyuk, CIA, CPA, CFE Senior Internal Auditor Avangrid Renewables, LLC Jingwen (Grace) Wu, CIA Risk & Governance Compliance Officer Silicon Valley Bank Krystle Aguirre has been in the audit profession for six years and is a senior auditor at Southwest Airlines. She is passionate about the profession and was featured in Internal Auditor magazine s 2015 Emerging Leaders. Aguirre has served on the Secretary s Committee for the Dallas chapter of The IIA for the past three years. She is also a member of The IIA s North American Young Professionals Task Force, where she serves as a member of the Professional Development Subcommittee.

7 Valentina Kostenyuk has been in the internal audit field for over seven years, focusing on operational auditing and SOX compliance across multiple segments of the energy industry. She is passionate about the profession and was featured in Internal Auditor magazine s 2015 Emerging Leaders. Kostenyuk currently serves as a district representative for West Coast chapters and is on the Portland chapter s Board of Governors, having previously served as chapter president. She is also a member of The IIA s Young Professionals Task Force and serves as the chair of the Professional Development Subcommittee, spearheading development of a national mentorship program for young professionals in The IIA. Jingwen (Grace) Wu is chair of The IIA s North American Young Professionals Task Force. With five years of experience as an internal auditor and compliance professional, she is a compliance officer with the corporate compliance and risk and governance group at Silicon Valley Bank (SVB). Previously, Wu was a senior auditor with ebay internal audit and an advisory consultant at Deloitte & Touche LLP, serving clients across various sectors, including financial services, energy, and high tech