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 Risk Management and Quality Assurance Self Assessment

Chapter Training
9/22/2016 8:00 AM
9/22/2016 1:15 PM
Comfort Inn and Suites Airport |  

Registration:         8 - 8:30 (Coffee and donuts provided)
Session I RM:        8:30 - 10:15
Session II QAIP:    10:30 - 12:15
Lunch:                    12:15 - 1:00 (Picnic Buffet)
Board Meeting:    1:00 - 2:00

Both sessions - $60 member/$70 non-member/$25 students & retirees
One session - $40 member/$45 non-member/$15 students & retirees
(Note: Session II includes lunch.)

CPE's: 4 (2 each session) Category: Auditing

RSVP by Sept 15 to: Zackary Singer   Email:    Phone: 585.360.1486
Pay by credit card or check made payable to IIA CNY at the door or mailed to:
Zachary Singer 
36 Pine St.
Port Byron, NY 13140
Cancellation after Sept 15 incurs the cost.

​Session I: Risk Management & Assessing Risks Agenda

1. Role of Enterprise Risk Management (ERM) versus Internal Audit

2. 3 Lines of Defense

3. Enterprise Risk Management

4. Internal Audit’s Role in ERM

5. Internal Audit Plan Risk Assessment

6. Internal Audit Engagement Risk Assessment

Session II: Internal Audit Quality Assurance Improvement Program (QAIP) Agenda

1. Why You Want To Implement A QAIP

2. The New IPPF – Will this affect the QAIP?

3. Quality Assessments - In order to assess conformance we have to understand the Standards.

4. Planning, Performing & Evaluating the Quality Assessment

5. Top Issues Noted by IIA Quality Services


Richard Friedman, CIA, CISA, CRMA

After a successful 35-year career that included launching and leading internal audit organizations, Mr. Friedman is now conducting internal audit and risk management training, quality assessments and organizational improvement.

Previously he served as CAE and VP-Audit at EDCI Holdings, Inc. (Nasdaq: EDCI, Manufacturing and Logistics) from 2005 through 2012, where he launched, staffed and directed all internal audit activities. With audit operations and staff in the U.S., U.K. and Germany, he was responsible for all internal audit functions and reporting status to executive management and the Audit Committee. Mr. Friedman worked closely with the Board of Directors to establish corporate governance programs and champion enterprise risk management activities.

Prior to joining EDCI Holdings, Mr. Friedman served as CAE and VP-Audit and Compliance at MedAssets, Inc. (Nasdaq: MDAS, Healthcare & Technology) where he launched their internal audit and compliance program. Before that, he served in various executive roles at AT&T (NYSE:T, Telecommunications & Technology) for 25 years including leading audit staff in North America, South America, Europe and the Middle East.

Mr. Friedman has particular experience with Enterprise Risk Management, Information Technology, Corporate Governance and compliance with SOX, HIPAA and FCPA. He has conducting numerous training  sessions including courses on Risk Based Auditing, Building a Sustainable Quality Program, and Performing an Effective Quality Assessment. In addition, he has instructed CAEs at the IIA’s prestigious Vision University.

He has worked with the IIA on quality assessments for numerous organizations worldwide in industries including Energy, Financial, Government, Manufacturing, and Technology.

Driving Directions – Comfort Inn & Suites

From the West or East

-Take the NYS Thruway (I-90) to Exit 36 (Route 81 South).

-From Route 81 South, take Exit 25 (7th North St.) towards


-Turn right onto 7th North St.

-Take the first right onto Buckley Rd.

-Comfort Inn is ahead on the left.

From the North or South

-Take Route 81 to Exit 25 (7th North St.) towards Liverpool.

-Turn right onto 7th North St.

-Take the first right onto Buckley Rd.

-Comfort Inn is ahead on the left.