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 Service Organization Controls (SOC) and other current trends

3/14/2014 8:30 AM
3/14/2014 5:00 PM
George Mason University, Arlington, VA; Founders Hall Classroom 120 |  

Service Organization Controls (SOC) and other current trends

Please join the IIA DC and NOVA Chapters on March 14, 2014 for training on Service Organization Controls (SOC) and Other Current Trends, presented by John Barnes and colleagues, from Grant Thornton (GT).  Please see the agenda below.


1. Welcome & Opening Remarks by John Barnes (8:30am- 8:45am)

2. Overview of Internal Audit Trends by John Barnes and Joann Cangelosi (8:45am- 10:15am)

This presentation will provide  highlights of Grant Thornton's CAE Survey, updates on NASDAQ internal audit requirement, overview of new COSO guidance, as well as address conflict mineral reporting requirements and other hot topics. 

3. Assessing and Addressing Third-Party Risk by Jennifer Jones (10:30am- 11:45am)

This presentation will help internal auditors understand SOC 1 Reports & provide lessons Learned from SOC 2 Reports. 

4.  The Role of Technology in Investigating and Detecting Fraud by Ben Harder (12:45pm- 2:15pm)

This presentation will focus on tips that internal auditors can use relating to detecting and investigating fraud with IT tools. 

5. The Impact of Health Care Reform on Different Organizations by Sharon Whittle (2:15pm- 3:30pm)

This presentation will provide an overview on preparing for the upcoming employee requirements for health care reform.

6. Risk Identification in Large Strategic Programs by Lindsay Hohler (3:45pm - 5:00pm)

This presentation will provide internal auditors an overview of the risks associated with deploying large projects.   

Course Duration: 8 hours 

CPE Hours Available: 8 NASBA 

Knowledge Level: All levels

Field of Study: Auditing

Prerequisites: None.

Advance Preparation: None.

Delivery Format: Group-Live 


Member: $175 register and pay by 3/7/14| $195 register and/or pay after 3/7/14

Non-member: $225 register and pay by 3/7/14| $245 register and/or pay after 3/7/14

In order to receive the early discounted rate, you must pay for the event by 3/7/14.  Please see the refund policy on the DC IIA website, which applies to this traning event.

Forms of Payment: We accept credit cards on the registration form.  

Lunch: Vegetarian and Non-vegetarian options to be provided.

Registration Deadline: Wednesday, March 12,  2014

To register for this event, please visit the DC IIA website registration page by clicking here.

Note: You can register and pay through the "Register Now!" button at the bottom of the DC IIA chapter website for the event.

Please contact Kristin Kole ( 703-727-0671 or Courtney Leith ( if you have any questions or are interested in attending!

Presenter Biographies

John D. Barnes, CIA, CPA (Maryland, Virginia and Washington, DC)

Partner, Advisory Services

John is a partner and leader of the Advisory Services Group in Grant Thornton’s Mid-Atlantic practice. He has more than 17 years of combined experience in internal audit, Sarbanes-Oxley, Specialty Attestation reports, tax and accounting consulting services, including prior managerial positions in a national accounting firm and an internal audit consulting firm. 

John’s prior experiences include providing external audits and internal controls consulting within the COSO framework and coordinating such work with all of the Big Four accounting firms. He has managed complex multi-project engagements and the simultaneous execution of multiple engagements including progress reporting and deadline management.  John also assists with the coordination of the firm’s advisory service offerings around IFRS.

Prior Sarbanes-Oxley and internal audit engagement experience includes providing services in all phases to not-for-profit organizations, multi-national manufacturing firms, a software developer, government contractors, and retailers.

Joann E. Cangelosi, CPA (Maryland and Virginia)

Partner, Advisory Services

Joann is a Partner in Grant Thornton’s Southeast Region Business Advisory Services Practice, specializing in Governance, Risk and Compliance.

Joann has more than 20 years of combined experience in public accounting, private industry and business consulting including Sarbanes-Oxley (SOX) compliance, internal audit services, business process improvement and risk management. 

Joann’s experience includes audit services within a national CPA firm, SEC financial reporting and Controller positions in multi-national publicly traded companies.  More recently, Joann has been providing Sarbanes-Oxley and internal audit services for accelerated and large accelerated public filers. 

Joann has significant experience in the real estate industry, specifically within hotel, retail, multi-family and commercial office real estate investment trusts (REITs).  Services include financial and operational audits at both the corporate, management company and property levels.

Joann also has significant experience in the technology industry and international market, having spent 5 years as a North America Controller for a public UK software company.  More recently, Joann has been providing SOX and internal audit services for multi-national technology and biopharmaceutical clients.  

 Jennifer Leigh Jones, CIA, CFE, CRMA, MBA

Experience Manager, Business Advisory Services

Jennifer is an Advisory Services Manager in Grant Thornton’s Carolinas practice specializing in service organization controls (SOC), internal audit, Sarbanes-Oxley compliance, and business process improvement engagements.  

Jennifer’s experience includes managing multiple SOC 1, 2, and 3 attestations focusing on both IT and business process controls and the underlying general computer controls supporting those processes.

In addition, Jennifer has been responsible for Internal Audit and SOX testing efforts for a variety of clients. While managing these engagements, she was primarily responsible for documenting and testing controls in order to evaluate their adequacy and effectiveness, identifying and resolving deficiencies, and issuing final reports.

Jennifer’s experience also includes providing consulting services to not-for-profit and government contracting clients including helping those clients address challenges related to maintaining appropriate records from a CAS and donor-reporting perspective and creating complex financial models to facilitate scenario analysis while maintaining the integrity of the underlying data.

 Ben Harder

IT Experienced Manager

Ben has over 10 years of experience overseeing teams performing information technology assessments in conjunction with management consulting engagements and financial statement audits. He has extensive experience coordinating multiple, simultaneous projects with teams spread across geographical locations (both the U.S. and Europe), resulting in strong project management skills, helping clients to achieve their primary objectives. His client base includes both public and private companies, Fortune 500 industrial products companies, Fortune 100 Financial Institutions and large Government agencies.

Ben specializes in IT General Computer Controls (GCC) reviews, both internally and externally, with emphasis on Sarbanes-Oxley 404 readiness/compliance. He has led over 75 GCC reviews and has been introduced to multiple IT technologies.

Ben has focused his career to become an SAP specialist.  His engagements have included SAP Basis security reviews, SAP business process reviews, SAP Basis pre-implementation reviews, SAP Basis post-implementation reviews and segregation of duties analysis.

 Sharon Whittle

Carolinas Practice Leader – Compensation and Benefits Consulting

Sharon has spent the last 22 years serving the Human Capital needs of businesses both as a consultant to organizations and as a Benefits Director for several Fortune 500 companies.  Her diversified experience includes working closely with organizations that are conducting significant merger, acquisition, restructuring or realignment activity, experiencing changes in top management and business strategy, being spun-off from a larger company, or are financially distressed.  Her experience includes:

  • Aligning total compensation programs to the People and Business Strategy of an organization.
  • Managing the Human Resources portion of enterprise wide Business Process Improvement Projects and Benefit Plan Audits focusing on legal, compliance and systems risk management and plan and operating efficiencies.
  • Developing, managing and implementing business restructuring and realignment plans for the Human Resources and People function of an organization.
  • Creating common compensation and benefit programs across business units within a single organization.
  • Evaluating current Human Resources programs in terms of best processes and practices, fit to the overall mission of the organization, impact to attracting and retaining the right talent, and the cost/value trade-off and proposition.
  • Conducting provider searches for Human Resources and benefits consulting expertise, health and welfare benefits and retirement benefits administration outsourcers, and thirdparty administrators and insured carriers for health and welfare benefits.

Lindsay R. Hohler, CISA

Senior Manager, Advisory Services

Lindsay has experience providing consulting services to not-for-profit, government contractor and technology clients, including operational assessment, business process improvement, project management, and internal control engagements.  She works with her clients to identity opportunities to increase the efficiency and effectiveness of operations by streamlining their business processes, realigning current organizational structure and implementing information technology solutions. 

Lindsay has experience working with clients through complex transformations.  She has worked with organizations through major upgrades of their ERP platform, through merger integration efforts and through the implementation of major compliance programs, including Sarbanes Oxley.  In each case, Lindsay has worked as part of the core Project Management Office (PMO) to manage the project schedule, scope, issues, risks and action plans. 

Additionally, Lindsay has worked with a number of clients to re-engineer their business processes and technology solutions to reduce and automate manual processes, increase the effectiveness of internal controls and increase the quality of the data coming from the financial systems.