Fox Valley/Central Wisconsin Chapter of the Institute of Internal Auditors
“How to Perform an Information Technology General Controls Review”
Norm Kelson, CPA, CISA, CGEIT (Bio on Pg.2)
President and Director, IT Audit Training at CPE Interactive
Who Should Attend?
IT audit professionals responsible for managing and performing general control reviews, non-IT audit professionals looking to strengthening their IT audit knowledge and Internal Audit departments seeking to establish a focused and responsive presence with their internal and external audit customers. Please register all necessary members of your team for this event.
About the Discussion
The general controls review assesses the IT control environment, and through the evaluation of specific control activities, monitoring and communications, and risk assessment, provides the basis for the assessment’s conclusion. The process itself focuses on numerous areas affecting IT management, data integrity, accuracy, and security, as well as availability. This training session focuses on the planning, execution, and reporting of general IT controls reviews. Recognizing that the scope of the review is too wide to perform as one large review, the course will provide an approach to assessing the highest risk areas, focusing on these on a routine basis, and developing a cycle approach to the less significant control processes. In addition, the course utilizes a maturity model, an objective repeatable assessment basis to provide management with a measurement that can show improvement of controls over time. Specific topics include:
· The IT General Control Review components
· Frameworks to support the audit process
· Compliance requirements (AS5, PCI-DSS, GLBA, HIPAA, state/federal privacy legislation)
· The scope of a full-scope general controls review
· Planning the scope of the general controls review
· Integrating compliance requirements into the planning process
· How to execute the review
· Effective reporting processes using scorecards and maturity models
Participants will take away new skills and update their IT audit skills for working in today’s audit environment.
As always, this seminar also offers excellent opportunities to network with your fellow internal auditors.
Tuesday, March 4, 2014
8:30 am – 5:00 pm, Registration begins at 8:00 am
Liberty Hall Conference Center
800 Eisenhower Dr., Kimberly, WI 54136
(Hwy 441 to County Rd CE/College Ave Exit)
8 CPE hours
$150 Members and $175 Non-Members
Breakfast, Lunch and Refreshments will be provided
Deadline to register: February 25, 2014
Presented by: Norm Kelson, CPA, CISA, CGEIT, President and Director, IT Audit Training, CPE Interactive
Norm Kelson, founder of CPE Interactive, specializes in building and disseminating best practices to assurance, risk, governance, and management stakeholders. With over 30 years of extensive experience in IT assurance and governance, he has served in a variety of capacities as a consultant with a Big 4 firm and an internal audit boutique, internal auditor executive, and industry advocate.
He is the author of over 30 IT Audit/Assurance Programs for ISACA which are available as a resource to its members, and a series of case studies to support ISACA’s IT Governance Using COBIT® and VAL ITTM: Student Book 2nd Edition.
Norm was Managing Director of IT Audit and Technical Seminars for MIS Training Institute. During his 12 year tenure he was responsible for creation and curriculum development of its global IT Audit training portfolio focusing on best practices in risk-based auditing.
He has held positions as: Director of IT Audit for the US Subsidiary of Royal Ahold (Stop & Shop and Giant) and was a key member of the internal audit professional practices and standards and the global information security committees; Vice President of Internal Audit Services and National IT Audit Practice Director for CBIZ Harborview Partners; managed KPMG’s New England Region IT Auditing practice, and held positions in IT Audit management with Fannie Mae, CIGNA, and Loews Corporation. He began his career as a financial auditor with Laventhol and Horwath.
Norm is an Adjunct Professor at Bentley University and a member of the Audit/AIS Curriculum Committee. He is a frequent speaker and subject matter expert at ISACA and Institute of Internal Auditors (IIA) conferences, is a former Executive Vice President of the New England ISACA Chapter and served on the Chapter’s Strategic Planning Committee.
Norm received a Bachelor of Science in Business Administration from Boston University and an MBA from the University of Pennsylvania Wharton School. He is a Certified Public Accountant, Certified Information Systems Auditor, and Certified in the Governance of Enterprise Information Technology.