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
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
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.
contact Kristin Kole (Kristin_kole@freddiemac.com) 703-727-0671 or
Courtney Leith (email@example.com) if you have any
questions or are interested in attending!
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
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
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
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
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.
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
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.
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
- 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
- Developing, managing and implementing business restructuring and
realignment plans for the Human Resources and People function of an
- 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
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