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Inside this issue:
Annual Fraud Conference 1
President’s Message 2
IIA Webinars 2
Certification News 3
Membership Corner 4
CAP Corner 4
Schedule of Events 5
Join us for this information packed annual two-day fraud seminar. You can choose to attend one or both days, and we offer a $25 discount if you register early.
• On Day One, Bret Hood will present for a full day on two separate topics: “Strengths and Weaknesses of Data Analytics” and “Indirect Methods of Proof”
• On Day Two, Drummond Kahn will provide a half-day session on “Auditors and Investigators working together”. Then in the afternoon, Michael Dudley will cover “Procurement Fraud and Employee Thefts”
You won’t want to miss this year’s fraud seminar. Earn 7 or 14 continuing professional education (CPE) credit hours by attending the seminar for one or two days, respectively. Please note the following information about CPE.
Click here to see Agenda
Click here to see Speakers
Pricing One Day* Two Days*
AGA, ACFE, IIA Member $175 $250
Fully Retired AGA, ACFE, IIA Member
$100 $150
Full-time Student $100 $150
Non-Member $250 $325
* * * $25 DISCOUNT if you register by 11/12 * * *
Dates: November 19 – 20, 2018 Registration & Networking Breakfast: 7:30 – 8:30 am Seminar: 8:30 am – 4:30 pm Lunch (provided): 12:00 – 1:00 pm Location: Red Lion Hotel (formerly Radisson Hotel) 205 Wolf Rd Albany, NY 12205 Speakers:
• Bret Hood - Director, 21st Century Learning & Consulting, LLC and former FBI Supervisory Special Agent
• Drummond Kahn, MS. CGFM, CIA, CGAP, Professional Trainer & Former Director of Audit Services, Portland, Oregon
• Michael Dudley, JD, LLM Principal Deputy Director, United Nations Investigations Division of New York
Number of CPEs: 7/day
IIA Audit News A Newsletter for Members of the
Albany Chapter of the Institute of Internal Auditors
November 2018
Volume 53, Issue 3
Annual fraud conference
CPE Field: Accounting/Auditing NYS License Number: 000329
In addition, we will be raffling many prizes with all proceeds benefiting the Regional Food Bank of Northeastern New York.
Page 2
IIA Audit News: A Newsletter for Members of the Albany Chapter of the Institute of Internal Auditors
President’s Message By Layli Nazirova, CIA, CGAP
IIA Webinars
The IIA offers free informational
programs to its members on a variety of
topics. Click here to obtain additional
information and to register.
Artificial Intelligence and Robotic
Process Automation: Opportunity
and Responsibility for Internal
Audit
November 13, 2018
1:00 – 2:00 PM
Business adoption of artificial intelli-
gence (AI) and robotic process
automation (RPA) brings both oppor-
tunity and responsibility for internal
audit. Internal audit has the opportunity
to be a trusted advisor and collaborate
with the other functional and business
unit leaders on ways to enhance the
control environment as business
processes are redesigned and automated
using AI and RPA. Within internal
audit, new testing approaches will be
needed for automated processes.
Internal audit professionals also have a
responsibility to understand risks
introduced by AI and RPA and ensure
their firm’s controls are well designed
and operating effectively to mitigate
those risks. They have a vital role to
play in helping the business design and
develop responsible AI; that is,
establish assurance processes to
It’s hard to believe that we are in the
month of November already, especially
after such a busy October!
We have successfully hosted a COSO
Internal Control Certificate Course
from 10/22-10/24. Twenty-nine
participants attended the training
earning 25.5 CPEs and were eligible to
take a post-course exam to obtain their
certificate.
On October 26, we hosted the 2018 Fall
CAE Roundtable for Chief Audit
Executives (CAEs). This was a
successful event as well, since we
engaged seven Albany-based CAEs in
topics including: audit software,
training, ERM, objectivity statements,
recruitment, and much more! Please
join your peers in the Spring of 2019
for another lively and informative
discussion. Stay tuned for additional
details on the Spring session coming to
you in April 2019!
November is shaping up to be equally
as exciting! On November 19 – 20, we
will co-sponsor the Annual Fraud
Conference. As always, this year’s
conference features prominent speakers
presenting on the many aspects of
fraud, and you can choose to attend one
or both days. We will also raffle off
many prizes with all proceeds to be
donated to the Regional Food Bank of
Northeastern New York. The early bird
deadline is fast approaching; please
consider registering today!
If you’d like to expand your network
and improve your leadership skills, we
invite you to join our Board. Please
contact me anytime at
[email protected] so we
can identify an opportunity that suits
your interests and availability. In
addition, please consider attending a
monthly Board meeting with coffee and
bagels! Meetings are held on the second
Tuesday of every month at 7:45 am at
the New York State Teachers’ Retire-
ment System (10 Corporate Woods
Drive, Albany, NY 12211).
I hope to see you there!
Have a Happy and Blessed Thanksgiving! Best regards, Layli Nazirova
Amazing Albany
IIA Programs
Page 3
IIA Webinars (Cont.)
manage the impact associated with risks
like bias and security. And, perhaps the
greatest opportunity: testing of controls
and other departmental tasks can be
automated through RPA, expanding
internal audit’s capacity and freeing
auditors to focus on more value-added
activity.
Learning Objectives
• Explore where AI and RPA sits on
the digital disruption spectrum
• Learn how to manage the risks
associated with AI, and how
internal audit can assist the
business in providing assurance of
AI
• Gain a deeper understanding of
what RPA is and how is it different
from older automation efforts
• Get tactical advice on where to use
RPA in IA
• Understand the risks and benefits of
automation to your IA function
IIA Audit News: A Newsletter for Members of the Albany Chapter of the Institute of Internal Auditors
Certification News By Alex Rusate, CPA, CIA, CRMA, CCSA, CISA
Newly Certified
Congratulations to the following
member who has recently received the
certification below:
Continuing Professional Education
(CPE) and Continuing Professional
Development (CPD) Requirements
IIA-certified individuals must report
CPE/CPD credits earned in 2018 by
December 31st! 2018 CPE/CPD
reporting is now open. Log in to
the Certification Candidate Management
System (CCMS) to complete the CPE or
CPD Reporting Form.
Please remember that if you fail to
report your CPE/CPD, your certifica-
tion/qualification will become inactive,
and as a result, you are no longer
approved to represent yourself as a
certified individual. Individuals
remaining "Inactive" for 12 months or
longer will be charged a certification
reinstatement fee.
Ethics Requirements
There is still time to earn CPEs,
including the Ethics requirement.
Options range from one-hour webinars
to 32-credit in-person seminars to
OnDemand courses and are available on
the IIA website.
Name Certification
Fenglin Wu CIA
Page 4
IIA Audit News: A Newsletter for Members of the Albany Chapter of the Institute of Internal Auditors
Page 4
Membership Corner By Christopher Herald, CGAP
Please join me in welcoming the
following individuals to the
IIA Albany Chapter:
Jason Clas
Amy Mantor
Fall is the time of changing seasons,
but don’t “fall” behind on earning
your CPE’s. If you are lacking
CPE’s, be sure to attend any one of
our upcoming events!
As always, if anyone has questions
about their membership, or has a co-
worker that would like more
information about how to join the IIA
Albany Chapter, please contact me
and I will be happy to assist.
Chris Herald
Membership Chair [email protected]
Membership Corner By Christopher Herald, CGAP
Category Chapter Points
Service to Members 461
Professionalism 100
Chapter Health 0
Total CAP Points Earned 561
CAP Corner By Cristina Hourigan
Chapter Achievements As of
11/1/2018
Balance to Minimum (Bronze) 124
Percent of Minimum Achieved 82%
The Chapter Achievement Program
(CAP) is an achievement and recogni-
tion program for chapters that uses
points to recognize chapter activities that
align with the North American Strategic
Plan. The program helps to set minimum
standards of performance for service to
members and to the profession. It also
provides a means to evaluate chapter
success.
A chapter must earn the minimum CAP
points annually in each of the 3
service categories to participate in the
CAP program. The 3 service catego-
ries are:
1) Service to Members,
2) Professionalism, and
3) Chapter Health
Once the Chapter has met or exceeded
the minimum CAP requirements in the 3
categories, the Chapter will have
reached the BRONZE performance
level. A chapter can advance to
SILVER or GOLD levels by accumu-
lating the points noted below made up of
any combination of CAP points from the
3 service levels (while also meeting the
minimums below).
Chapter Targets
Bronze 685
Silver 1,060
Gold 1,560
Page 5
IIA Audit News: A Newsletter for Members of the Albany Chapter of the Institute of Internal Auditors
SCHEDULE OF EVENTS 2018 — 2019
Albany Chapter – Institute of Internal Auditors
SEPTEMBER
September 25, 2018
Mystery Fraud Training
3.5 CPEs
OCTOBER
October 22-24, 2018 COSO Certificate
Course
October 26, 2018
Fall CAE Roundtable
No CPEs
NOVEMBER
November 19–20, 2018
Annual Fraud
Conference
7 to 14 CPEs
DECEMBER
December 2018
Annual Holiday
Luncheon
No CPEs
JANUARY
TBD
Technology Conference
7 CPEs
FEBRUARY
February 12, 2019
Certification Breakfast
No CPEs
MARCH
March 18-20, 2019
TCTC
7 to 21 CPEs
APRIL
April 6-7, 2019
CIA Part III Review
CPEs
Spring CAE Roundtable
No CPEs
MAY
TBD
JUNE
June, 2018
Awards Ceremony
No CPEs
JULY
AUGUST
Email: [email protected]
Phone: (518) 408-4865
Danielle Bridger
Don’t forget to report your speaking hours to
