Friday, September 12, 2014 – Melville Marriott

Enhancing Auditors’ Report Writing Skills

(4 CPE/ CPD Credits)

Event Summary:

The focus of this half -day seminar is to enhance Auditors’ Writing Skills. The key objectives of this workshop include:

·  Learning the 5Cs (Condition, Criteria, Cause, Consequence and Corrective Action) issue drafting approach, as well as best practices and techniques for efficient and effective issue writing to draft your own audit issues.

·  Using Root Cause Analysis (RCA) during issue drafting process to develop better management action plan in our reports.

·  Assessing management action plans before report issuance to increase efficiency of issue closure management’s and validation of issue follow up.

·  Self-assessing your own audit reporting practices and participating in group editing and discussions to identify areas for growth to improve your own writing process.

At the conclusion of this seminar, participants will be able to draft audit issues for reports, create supporting documents for work papers (e.g., RAM, test sheets) and apply rationale for rating issues and reports that incorporate industry good practices.

Come and join us as we explore how to enhance our audit report writing skills.

About Our Speakers

Sumukh Shah

IT Audit Manager - AIG

Sumukh Shah joined AIG in September 2012. Mr. Shah is part of the IAD Technology audit team and is responsible for managing IT application integrated and pre-implementation audits within Asset Management, ERM, Global Capital Markets. Prior to joining AIG, Mr. Shah has spent 10 years in various Operation and Information Technology audit roles for JPMorgan Chase and PwC. He has also instructed courses for Mainframe, Databases and AS/400 systems focusing on the identification of process risks and related controls as they relate to General IT Controls and business processes it supports (e.g., trading systems). Mr. Shah is an Adjunct lecturer at CUNY Baruch teaching Technology Audit courses.

Mr. Shah is a Certified Information Systems Auditor (CISA). He is a graduate of Mumbai University, with a B.S. in Information Technology and also received a M.S. in Computer Science from New York Institute of Technology. He is currently pursuing a MBA at Baruch College with a concentration in Finance and CIS.

Monica B Freire –– AIG

Senior Audit Manager – Global Claims and Operations

Monica Freire joined AIG in April of 2006 as an IT Audit Manager responsible for the Domestic Insurance Companies. As a Senior Audit Manager she is responsible for directing a global team performing reviews of global programs across AIG’s Property Casualty Business including the Global Claims Transformation and SAP implementations as well as audits of Claims and Operations in North America .

Ms Freire has over 15 years of Internal Audit experience across various businesses including Financial Services, all aspects of Insurance, Transportation and Logistics.

Prior to joining AIG, she was at UPS for 18 years and held a variety of positions with increasing responsibilities including Delivery Information/Loss Prevention Systems User Representative and IT Audit Manager. Ms Freire is a graduate of St. John’s University and a former CISA.

Friday, September 12, 2014

Half-Day Program

Check-in and breakfast begin at 8:00 a.m. Program begins at 8:30 a.m. Lunch will be served at approximately 12:30 p.m. Dress is business casual.

How to Register:

Please use the following on-line registration link: https://www.cvent.com/events/navigating-through-the-2013-coso-update/registration-331bdb67c0ff4113bdc6cf58fdf3a4fa.aspx

If you are having trouble with the link, notify Robert McNair at or call Robert at 631-344-5921.

For making payments offline,

You should register on-line (see above) and in the payment section, select “check” or "other." If not registering online, please contact us at or call Robert McNair at 631-344-5921 at least 24 hours before to reserve your seat. Then complete and enclose this registration form along with your check made payable to the IIA Long Island Chapter and mail to: Institute of Internal Auditors LI P.O. Box 442, Smithtown, New York 11787 or bring it the day of the seminar.

First Name(s) / Last Name(s) / IIA Member
$90 Each / Non Member
$115 Each / Student $30 Each / No. of Prepaid Subscriptions
Applied / CPE
Y/N / CPD
Y/N
Total / $ / $ / #

Company Name: ______

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Directions to the Melville Marriott:

From New York City: Take the Long Island Expressway (Rte. 495) to Exit 49 South. Take the Ramp (right) onto the South Service Road. Turn left (North) onto Old Walt Whitman Road (Walt Whitman Road).

From Eastern L.I.: Take the Long Island Expressway (Rte. 495) to Exit 49 North. Take the Ramp (right) onto the North Service Road. Turn right (North) onto Old Walt Whitman Road (Walt Whitman Road).

The Melville Marriott phone number in case of weather emergency: (631) 423-1600