Tag: chief audit executive

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This Week in FCPA

Episode 222 – the Trees Gone Bad edition


As Donald Trump blames the California and Oregon forest fires on ‘trees gone bad’; Tom and Jay continue to brave the surge in Covid cases by staying safe at home. They are back to look at top compliance articles and stories which caught their eye this week.

  1. How does Bluebell apply to cyber claims against a Board of Directors? Paul Ferllio, Bob Zukis and Christophe Veltsos in the Harvard Law School forum on Corp Governance.
  2. VW Monitor closes out monitorship. Jack Ewing in the NYT. Mengqi Sun in the WSJ Risk and Compliance Journal.
  3. Tom takes a deep dive into Herbalife. Part 1, Part 2, Part 3 and Part 4.
  4. The intersection of anti-human trafficking and ABC compliance. Vanessa Hans in the FCPA Blog.
  5. Does the DOJ have to turn in SEC investigative material in a criminal FCPA trial? Matt Kelly goes legal in Radical Compliance.
  6. The intersection of compliance and internal audit? Mike Volkov in Corruption Crime and Compliance.
  7. Who is a PEP? Dick Cassin considers a plethora of definitions in the FCPA Blog.
  8. Has Covid-19 changed the relationship between senior management and the Board? Dottie Schindlinger and Kira Ciccarelli in CCI.
  9. This month on The Compliance Life, I am joined by DeAnna Nwankwo. In this week’s Part 2, DeAnna talks about some of the skills she needed in the CCO chair.
  10. On the Compliance Podcast Network, on 31 Days to a More Effective Compliance Program, this month focuses on internal controls. This week saw the following offerings: Monday– Internal controls for 3rd parties; Tuesday– Internal controls for GTE; Wednesday– BOD oversight as an internal control; Thursday– Code of Conduct as an internal control; and Friday– What is the COSO Internal Controls Framework. The month of August is being sponsored by Affiliated Monitors. Note 31 Days to a More Effective Compliance Program now has its own iTunes channel. If you want to binge out and listen to only these episodes, click here.
  11. Join Jay and Tom at Converge20. Convercent’s top compliance conference is going virtual this year. Check at the agenda and register here.
  12. Join a great upcoming K2 Intelligence FIN webinar. Robin Henry on how investigators can use social media, Thursday, 9-24 at 1600 GMT. Registration and information here.
  13. Join Tom, Charlie Voelker, Legal Compliance Solutions, Skillsoft and Stephen Martin, Partner, StoneTurn for a joint Skillsoft/StoneTurn webinar on evolving your compliance program under the 2020 Update to the Evaluation of Corporate Compliance Programs. Wednesday, September 23, from 12 PM – 1 PM EDT. Information and registration here.

Tom Fox is the Compliance Evangelist and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.

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Jamming with Jason

A Tale of Two Careers


It was the best of times, it was the worst of time, it was the age of wisdom, it was the age of foolishness. These words from Charles Dickens “The Tale of Two Cities” is the inspiration for this week’s episode.
Two auditors start out graduating from similar universities, get similar starting positions, but in 10 years those two auditors are in very different places.
One is still a junior or senior auditor and the other is a director or chief audit executive earning 3-5 times the salary of the first auditor.
Do you know the difference between these two auditors?
Find out in this week’s #jammingwithjason #internalauditpodcast. Listen in at: http://www.jasonmefford.com/jammingwithjason/
When you are ready to take your career as a #chiefauditexecutive to the next level, join the CAE Briefing executive leadership program mentioned in this episode at: https://jasonmefford.mykajabi.com/caebriefing
Join thousands of lifelong learners in internal audit, risk and compliance at: With hundreds of learning options, you are sure to find exactly what you need: https://ondemand.criskacademy.com/?affcode=105582_jpp6czlf

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Jamming with Jason

Finding New Ways to Thrive with Mike Smith


As the world changes, we have to find new ways of doing things … and this is definitely true of #internalaudit that has been operating relatively unchanged using a traditional approach for decades. What will our relationship with the board, management, and the #chiefauditexecutive be like in this new brave world?
I’m joined by Mike Smith to discuss finding new ways to thrive in this #jammingwithjason #internalauditpodcast. We discuss this as well as how to be your whole self at work.
Listen in at: http://www.jasonmefford.com/jammingwithjason/
Mike Smith is the U.S. Intelligent Automation and Solution Lead for Internal Audit at KPMG.

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Jamming with Jason

Successfully Using Data Analytics with Joe Oringel


In this #jammingwithjason #internalauditpodcast I speak with Joe Oringel about some of the challenges #internalaudit is facing when it comes to #dataanalytics. It turns out one reason people struggle is not understanding the seven body of knowledge areas we should be focusing on and determining where you want to be.
We discuss personnel issues (e.g. do you hire a data scientist and teach them how to audit, or train internal auditors how to be a data scientist) and how to plan out your multi-year path on incorporating more data analytics into your audit activities.
If you are working to improve data analytics in your internal audit department, you need to listen to this episode.
Joe Oringel is the Managing Director of Visual Risk IQ. Learn more at: http://visualriskiq.squarespace.com/
To get a copy of the data analytics maturity model discussed during the episode, send an e-mail to info@visualriskiq.com

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Jamming with Jason

Vendor Risk Management with Rick Roybal


As organizations outsource more and more of their processes, the #risk associated with managing those vendor relationships goes up. Organizations may think they are removing the risk by #outsourcing, but they are only sharing or transferring a portion of the risk. Just ask the countless organizations that found themselves holding the bag on a multi-million dollar fine or penalty when their vendor wasn’t compliant.
In this #jammingwithjason #internalauditpodcast I speak with Rick Roybal about the importance of having mentors in your career and risk around third-party, vendor risk management.
Listen in at: http://www.jasonmefford.com/jammingwithjason/
Registration for the Fall 2020 Oil & Gas Vendor Roundtable mentioned during the episode is now open. When you are ready, visit https://www.vendoraudit.org/fall2020ogvr to see the speaker lineup (and you will see Jason’s smiling face).
Just a few details for you:
– If you work for an operator, there is no cost to you.
– There are a limited number of seats available.
– Dates: October 28-29.
– CPEs offered
Register for the Oil & Gas Vendor Roundtable at: https://www.vendoraudit.org/fall2020ogvr
Make sure to check also out The Tour Report podcast with Rick (especially if you are in the oil and gas sector) at: https://www.vendoraudit.org/tourreport

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Jamming with Jason

JWJ Encore: Playing the Game without Help = Disaster


In this week’s #jammingwithjason #internalauditpodcast I’m going to let you in on a little secret. Many of you are playing the game of your career without much help. The problem is, others in your organization are getting help, which means you are playing at a big disadvantage.
I’m not talking about a lack of resources or struggling to get budget and support. It’s about getting yourself the training, coaching, and support you need to play varsity-level sport … like your peers. It’s about having the right balance (e.g. American football: offense, defense, passing, running) to get you performing at an elite status.
Take a listen and see some of the areas where getting a little extra help, will go along way in helping you play the game of your career and life as a champion.
If you are a CAE and really serious about elevating the status of internal audit in your organization, improving your executive presence, and getting best practices and thought leadership from like-minded CAEs, the CAE Forum is for you.
Submit your application to join the Chief Audit Executive (CAE) Forum. We are accepting new member applications. https://jasonmefford.mykajabi.com/caeforum
Jamming with Jason, the #1 #internalauditpodcast in the world has interviews and discussions (jam sessions) relevant to Chief Audit Executives and professionals in #internalaudit, #riskmanagement, and #compliance.

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Jamming with Jason

Collaborative Audit Report Writing with Tracie Marquardt


Internal audit reports have been written the same for decades, and honestly are usually very boring and don’t meet our organization’s needs. In this episode I talk with Tracie Marquart about action oriented recommendations, improving report writing to consider the end of the value chain, seeing the big picture, linking our work to assurance over key objectives, and how to make our reporting more collaborative.
Listen in at: http://www.jasonmefford.com/jammingwithjason/
Tracie Marquardt is Europes leading audit communication consultant, and I am so honored to have her on #jammingwithjason #internalauditpodcast.
Learn more about Tracie at https://www.traciemarquardt.com/ and https://qacommunication.com/ or email her at: tracie@qacommunication.com
#internalaudit

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Jamming with Jason

Lessons from a Chief Audit Executive with Sohail Saleem


In this week’s #jammingwithjason episode I speak with Sohail Saleem about lessons he learned from being a CAE. We discuss various topics including: investing time and money into your career development (and yes that even means out of your own pocket), having a vision, determining what you need to get to the next level, seeing the big picture, developing your soft-skills, and thinking outside of the box.
Take a listen to the episode to learn Sohail’s career path and advise on becoming a CAE at: http://www.jasonmefford.com/jammingwithjason/
So much wisdom from Sohail in this episode.
Sohail Saleem is the Executive Director of Internal Audit (CAE) at Mount Royal University
Calgary, Alberta, Canada.
#internalaudit #chiefauditexecutive #internalauditpodcast

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Jamming with Jason

Soap Boxes and Podcasts with Trent Russell


In this special episode of #jammingwithjason #internalauditpodcast I talk with Trent Russell the host of “The Audit Podcast” about the profession of internal auditing and some “soap box” issues we both feel strongly about to help improve internal audit in organizations. It’s a dual interview style, so you get to hear questions and answers from both of us. Double bonus 🙂
If you haven’t already subscribed to The Audit Podcast, here is the link for it on Apple Podcasts: https://podcasts.apple.com/us/podcast/the-audit-podcast/id1502796518
Trent is also a subject matter expert on data analytics with Greenskies Analytics. You can learn more at: GreenskiesAnalytics.com

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Jamming with Jason

Traditional Internal Audit is Dying


For the times, they are a changing in the internal audit profession.
You can choose to stick your head in the ground and ignore what’s going on, but you may end up like some CAEs who just got let go from their positions for sticking with a traditional internal audit mindset.
In this week’s podcast I share why Traditional Internal Audit is dying. We’ve been seeing this for years, but I share with you some recent events and evidence that prove again that this is the trend we are seeing.
If you are still spending most of our time auditing lower level process controls and focusing on historical events and internal controls, you are probably stuck in the traditional rut and need to start working your way out by transitioning to a true risk-based internal audit methodology.
Value-based auditing, objective-based auditing vs. risk-based internal auditing I also discuss in this episode.
Listen in at: http://www.jasonmefford.com/jammingwithjason/
#jammingwithjason #internalauditpodcast #internalaudit