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Puget Sound IIA 7th Annual Fraud Conference

Connect with:  Fraud Identification, Prevention, Detection & Investigation

Event Description:

Join the Puget Sound IIA chapter for its 7th Annual Fraud Conference!  Presentations will include interactive dialogues on fraud identification using COSO 2013, fraud prevention programs, detection using data analytics, and an afternoon of fraud mystery investigations.  Further, we are pleased to include a lunch panel to discuss the latest trends in fraud with members of the community and the SEC.

Date:

Tuesday, March 17, 2015

Agenda: 

Time

Session

8-8:30am

Registration / Networking Breakfast

8:30-8:35am

Welcome/ Announcements

8:35-9:30am

Identification:  Fraud Risk Assessment and COSO 2013 Principle #8

9:30-10:25am

Prevention:  Preventing Fraud through Partnering with Automated Retail

10:25-10:40am

Networking Break

10:40-11:35am

Detection:  Fraud Detection through Data Analytics

11:35am-1pm

Lunch / Key Note Panel

1-5pm

Investigation:  Mystery Fraud Training

5-5:30pm

Networking / Reception

Location:

Washington Athletic Club

1325 Sixth Avenue, Seattle, WA 98101

3rd Floor, Crystal Ballroom

https://www.wac.net/

Pricing:

 

Early Bird Special – SAVE $50!

Register by February 28, 2015

 

Register March 1 to March 17, 2015

Member

$195

$245

Non-Member

$225

$275

REGISTER HERE!!!!​​

Session #1:  Fraud Risk Assessment and COSO 2013 Principle #8

Speaker Bio: 

James (“Jim”) Gallo, Protiviti Investigations & Fraud Risk Management Associate Director

james.gallo@protiviti.com

Jim Gallo is an Associate Director in Protiviti’s Investigations & Fraud Risk Management solution where he focuses on investigations, anti-bribery and corruption compliance solutions and fraud risk management initiatives.  Jim has 25 years of experience, with a primary focus on leading internal investigations and ethics matters and directing  teams to execute a risk-based approach for auditing fraud globally.  He developed a fraud risk assessment methodology and monitoring program to ensure compliance with UK Anti-Bribery Act and identify potential violations for remediation.

Prior to joining Protiviti, Jim was the Global Director for Financial Crimes in the financial services industry, where he developed a forensic data lab that produced predictive analytics to search for expense reduction opportunities and potential employee embezzlement, resulting in substantial savings for the company.   

Jim is a Certified Fraud Examiner and received his Bachelors of Business Administration in Accounting from Adelphi University in Garden City, NY.

Session Description: 

COSO 2013’s Principle #8 (“Assesses Fraud Risk”) has many organizations reconsidering the “how-to’s” of their fraud risk assessment process.  Some have adopted new techniques to identify fraud vulnerabilities, while others have modified their existing fraud risk and control documentation.  Join us for an interactive session to discuss practical approaches for aligning with the Internal Control –Integrated Framework when considering the potential for fraud in your organization’s financial, operational and compliance processes.

Session #2:  Preventing Fraud through Partnering with Automated Retail

Speaker Bio:

Greg Brumley, Outerwall Loss Prevention Director

Greg.Brumley@outerwall.com 

Greg joined Outerwall in January 2014 to head up the loss prevention function for the new Coinstar Exchange business.  He has over 20 years of experience in leading fraud management, investigations and loss prevention in wireless telecom, big box retail and quick service restaurants. Greg’s experience includes leading loss prevention and fraud at T-Mobile, Walmart Stores, and Starbucks Coffee Company.  Greg has extensive international experience and starting loss prevention programs in Indonesia and Germany as well as living in Japan.  Greg is well known in the loss prevention industry and is active in loss prevention councils at Retail Industry Leaders Association (RILA) and the American Society of Industrial Security (ASIS).

Paul LaBlanc, Outerwall Loss Prevention Sr. Manager

Paul.LaBlanc@outerwall.com

Paul joined Outerwall in 2010 as the Sr. Corporate Investigator and now manages the LP function for ecoATM and New Ventures.  He has 18 years of LP experience driving enterprise awareness programs and delivering bottom line results in the big box, specialty, and automated retail environment.  Paul has spent the last 14 years at the regional and corporate level for Kroger, Zales, and now Outerwall.  Paul earned his CPP in 2013, and holds a BA Degree in Criminal Justice. 

Session Description:

Americans buy over 150 million new phones per year and growing. How many old cell phones, MP3 players, or tablets do you have lying around your house? ecoATM is an automated e-waste recycling kiosk that was invented to make it easy and convenient for people to recycle their old, unwanted cell phones and other personal electronics and provides an instant cash incentive for recycling.

Outerwall has over 65,000 automated retail kiosks throughout North America and the UK. Each kiosk type offers the opportunity to share valuable information to law enforcement. Information we collect has helped lead to 100’s of apprehensions over the last 5 years.

The “Preventing Fraud through Partnering with Automated Retail” presentation will show you how the ecoATM kiosk works, the technology behind the operation, the information we collect, and how we share it with Law Enforcement and Loss Prevention professionals in attempt to make ecoATM the worst place for bad actors to conduct transactions.

Session #3:  Fraud Detection through Data Analytics

Speaker Bio:   

Dave Coderre, Author

dave_coderre@hotmail.com

Dave Coderre has extensive experience in the area of data analysis to support finance and internal audit.  He has worked with numerous finance and audit teams to help them maximize the use of data analysis to support their objectives.  In particular, he has 28 years of experience working with internal auditors - assisting them in developing ACL scripts for a variety of analysis requirements.  In addition, he has taught introductory and advanced ACL courses for more than 18 years and is currently teaching a university course on Data Analytics to Detect Fraud.

Dave is the author of three books on auditing: Internal Audit: Efficiency through Automation (2008), Computer-Aided Fraud Prevention and Detection: A Step by Step Guide (2009); and Fraud Analysis Techniques Using ACL (2009).  He is also the author of the Institute of Internal Auditors (IIA) Global Technology Audit Guide – Continuous Auditing: Implications for Assurance, Monitoring and Risk Assessment.

Mr. Coderre also contributes to various professional journals; and is a frequent speaker at conferences around the world.  He is also the #1 poster on the ACL User Forum; and has been using ACL for more than 20 years.

Session Description: 

Learn to use data-driven techniques to identify fraud risk and data analytics to prevent and detect fraud.  Mr. Coderre will cover analysis techniques to monitor areas of high fraud-risk and to investigate symptoms of possible fraud.  This session will also include demonstrations of how ACL can be used to find both known and unknown symptoms of fraud in the data.

Session 4:  Lunch Key Note Panel

Moderator:

George Erb

geoerb@seanet.com

Moderator Bio: 

George Erb is a Seattle-based journalist and educator. For 30 years he worked as a reporter and editor at daily and weekly newspapers in Washington state. During his seven years as editor of the Puget Sound Business Journal, the business weekly won numerous national awards. In

2010 the Business Journal was a finalist for a Pulitzer Prize for its reporting of the mortgage meltdown and the collapse of Washington Mutual, which remains the largest bank failure in U.S. history.

Erb is currently an adjunct instructor of journalism at Western Washington University and a contributing writer to The Seattle Times and the National Law Journal. He has a bachelor's degree in history from Hanover College and a master's degree in journalism from the University of Oregon.

Panelists:

Carlos Vasquez, SEC Division of Enforcement Senior Counsel

VasquezC@sec.gov

Carlos Vasquez is Senior Counsel, Division of Enforcement, in the San Francisco Regional Office of the U.S. Securities & Exchange Commission.  Carlos is responsible for the review of complaints directed to the San Francisco office and regularly interacts with whistleblowers and their counsel.  Before his current position, Carlos worked as a staff attorney and investigated a wide range of matters related to accounting fraud, stock options back dating, Ponzi schemes, the Foreign Corrupt Practices Act and other violations of the federal securities laws.  Prior to joining the SEC, Carlos worked in private practice representing issuers, directors and officers in securities class actions and SEC investigations.  Carlos received his Juris Doctor from Harvard Law School in 1994 and his Bachelor of Arts from the University of Texas at Austin in 1991. 

Greg Brumley, Outerwall Loss Prevention Director

James (“Jim”) Gallo, Protiviti Investigations & Fraud Risk Management Associate Director

Session #5:  Mystery Fraud Training

Speaker:  

Timothy Hungerford, CPA, CIA, CFE, CMA, CISA, CGAP, CFM

timh@hvaudit.com

For the past 17 years, Timothy Hungerford has been owner of Hungerford Vinton, LLC. The firm performs specialized audits, such as contract compliance, recovery audits, fraud examination and internal controls. Tim has recovered tens of millions of dollars for his clients during that timeframe.  In addition, he has identified several grey market schemes, and helped shutdown fraudulent relationships for his clients. His work experience includes both the public accounting field and several corporate finance roles within a Fortune 500 prior to starting Hungerford Vinton, LLC. He received his bachelor’s in Accounting from Niagara University, and his MBA in Finance from the Rochester Institute of Technology. Tim serves on the board of the Rochester Chapter of the Institute of Management Accountants, the audit committee of the Volunteers of America, and is Treasurer/Board Member of the Rochester Chapter of the Institute of Internal Auditors. He is also an adjunct professor at SUNY Brockport teaching in the master’s in forensic accounting program, and serves on the Niagara University and Rochester Institute of Technology accounting advisory boards.

Session Description: 

The goals of the Mystery Fraud Training are to teach auditors through a simulated audit experience.

Starting with the Planning phase, you will be supplied with basic client back ground, and it will be up to the audience to participate and develop the audit from there.

This includes:

  • Interviewing key personnel in the process being audited throughout the event
  • Determining information needs , discussing next steps
  • Examining evidence, and drawing conclusions
  • Adapting audit programs to meet audit requirements despite time constraints and information availability
  • Finally, doing something that many auditors don’t get a chance to do, and perform a confrontational admission seeking interview.

Along the way, you will be provided with some of my real life keys to a successful audit, such as “My Red Flags”, the four things that be help identify fraud. As well as data-mining advice, and ensuring evidence is admissible.  I also add in past experiences and cases throughout the event to emphasize the learning points.​

 

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