"Are we there yet?"
Quality Assurance Reviews/Enterprise Risk Management Seminar

Tuesday, February 3, 2009

8:00 - 5:00

Radisson Hotel and Conference Center (Map)
12600 Roosevelt Boulevard, St. Petersburg 33716

7:30 - 8:00 am: Registration
8:00 - 8:15 am: Opening and Announcements
8:15 - 9:45 am: Quality Assurance Reviews, presented by Kristin Allen & JoAnne Clark, Protiviti
9:45 - 10:00 am: BREAK
10:00 - 10:30 am: Quality Assurance Reviews, continued
10:30 - 11:45 am: KPMG - 2005/2006 Integrity Survey Results, presented by Chuck Riepenhoff, KPMG
11:45 - 1:00 pm: LUNCH
1:00 - 2:30 pm: Implementing Enterprise Risk Management – presented by Sergio de la Fe, Jr. & Ted Martin, KPMG
2:30 - 2:45 pm: BREAK
2:45 - 4:00 pm: Implementing Enterprise Risk Management – continued
4:00 - 5:00 pm: General Meeting and CIA Certificate Awards

Protiviti:

Kristin Allen is an Internal Audit Manager and has worked at Protiviti since their inception in May of 2002. Prior to that she worked in Arthur Andersen’s Business Process Risk Consulting service line. She specializes in Sarbanes-Oxley Advisory Services and Outsourced and Co-sourced Internal Audit Services. Kristin is a CPA, CIA and is QA-R Certified by the Institute of Internal Auditors. She also serves as the Southeast Region Quality Assurance and Development lead. In this role, she performs internal audits to ensure we are complying with Protiviti and The Institute of Internal Auditor Standards. She also provides office wide training geared towards serving the needs of our local clients.

JoAnne Clark is an Internal Audit Manager and has worked at Protiviti since their inception in May of 2002. Prior to joining Protiviti, JoAnne worked at Arthur Andersen in the Business Process Risk Consulting practice. JoAnne also has seven years of experience in Banking and seven years of experience in a private Healthcare practice. JoAnne has served as the engagement manager and the in-charge auditor for internal audit clients in various industries in the Tampa Bay and surrounding areas. Her areas of specialty include risk assessments, Sarbanes-Oxley and internal control evaluations. JoAnne is actively involved in Protiviti’s developmental training programs and participates on the Protiviti Quality Assurance team that performs Quality Assurance assessment for Protiviti offices. JoAnne is a CPA, CIA and is QA-R Certified by the Institute of Internal Auditors.

KPMG

Chuck Riepenhoff

Mr. Riepenhoff is National Director Industrial Markets Investigative & Integrity Advisory Services . Mr. Riepenhoff has over thirty-two years of diverse experience in the management of engagements dealing with the examination of financial statements and with counseling entities in a variety of industries, both publicly and privately owned, in such areas as commercial litigation, fraud, white collar crime, mergers and acquisitions, and financial restructuring.

Mr. Riepenhoff has assisted the Firm’s clients in such areas as Alternative Dispute Resolution, Arbitration Services, Breach of Contract Disputes, Construction Services – Financial, Expert Witness, General Commercial Disputes, Post-Acquisition Disputes, Corporate Governance/Corporate Compliance/Ethics Development, Corporate Sustainability Advisory, Earnings Management, Forensic Accounting, Fraud and Misconduct Diagnostics, Third Party Monitoring Services, Trade and Customs, External Reporting Advisory (Report Preparation and Review), Performance Measures Development (Non-Financial KPIs) and Specialty Assistance With Credit Trading, among others.

Mr. Riepenhoff has provided expert testimony in Federal, state and local courts and in arbitration.

Mr. Riepenhoff is a CPA, a Certified Fraud Examiner and a certified Insolvency and Reorganization Accountant. Chuck has lectured for The Institute of Continuing Legal Education of the State Bar of Georgia and the Atlanta Bar Association. Mr. Riepenhoff holds a Bachelor of Business Administration from Ohio University and a Masters of Business Administration from the University of Alabama.

Sergio de la Fe, Jr.

Sergio started his career with KPMG in the Miami office in 1991. Sergio was director of finance at Extended Stay America during 1996 and 1997. Since returning to KPMG, Sergio has served in the ICE and Financial Services lines of business and completed a 3 year rotation at the Audit and Advisory Services Center (AASC) in Montvale where he led a number of projects such as the development of the first version of XBRL with the AICPA, the BMP Support Initiative which oversaw the development, implementation and deployment of KAM, internal controls guidance and Vector version 2.0. While in Montvale, Sergio was a member of the Knowledge Management and Krisk development teams and led the implementation of the KPMG Resource Management system. Since the summer of 2002, Sergio has been an audit partner in the Miami office and served as the South Florida Audit Training and Methodology Partner (ATMP), Member of the Initial Partnership Council, Sarbanes-Oxley Resource Partner, Partner in-charge of Recruiting and WEI Local Action Council Champion and Employer of Choice initiatives for the South Florida Business Unit.

Sergio currently serves Royal Caribbean Cruise Lines, Norwegian Cruise Lines, Jarden Corporation (Sunbeam/Coleman), JM Family Enterprises (SE Toyota distributor) among other clients. Other current responsibilities and organizations includes the Board of Directors of Junior Achievement of Miami and the Association for Public Corporations. Member of the advisory board for the Florida International University School of Accounting. Member of the American Institute of Certified Public Accountants and Florida Institute of Certified Public Accountants and is certified in Florida and Georgia. Bachelor’s of accounting degree from Florida International University.

Ted Martin

Mr. Martin is a Senior Manager in KPMG LLP’s Southeast Risk Advisory Services practice in the Fort Lauderdale office. He has a combined 12 years of diversified technology and consulting experience with a historical focus on the evaluation, redesign, implementation and ongoing monitoring of operational and technological environments. This focus has resulted in risk mitigation, complimented by cost reduction and revenue enhancement. Recently, Mr. Martin has been heavily integrated in Sarbanes-Oxley Section 404 compliance from both an advisory and external audit perspective and is a Southeast lead for Enterprise Risk Management.

Relevant Experience

Has led a team to provide guidance on rationalizing the organization’s key control portfolio to minimize controls; maximize coverage; determine optimal manual / automated and preventative / detective balance; increase clarity of documentation; and create an efficient, cost effective plan for executing test work over the course of the entire year.
Has led a multidisciplinary advisory team on enterprise wide Sarbanes-Oxley, Section 404 GEN IT, Entity and Application level risk assessment, scoping, documenting and testing.
Has led multiple Sarbanes-Oxley, Section 404 integrated audit engagements focusing on application level controls and IT heavy processes.
Has provided strategic management consulting by identifying operational metrics and linking them to financial measures to produce an Operations and Strategy Management Scorecard.
Has led a team of advisory and internal audit services professionals in performing audits of particular organizational functions and consolidating findings into gap analysis with SOX 404 implications.
Has managed the requirements, development and implementation of new systems, including related controls and industry specific mandated compliance.
Has managed the re-engineering of new business processes and assisted organizations with implementing standardized processes.
Selected clients include Ryder Systems, MCI WorldCom, Turner Broadcasting, Office Depot, Royal Caribbean, UPS, and Fairmont Hotels.
Heavily focused on risk, controls, project management and quality assurance.

Mr. Martin was formerly with Anderson Consulting, focused on the Travel and Transportation Services industry segment. He also managed the IT department of a division of AmerisourceBergen.

He holds a Masters degree in Decision and Information Sciences from the Warrington College of Business at the University of Florida, as well as a Bachelors degree from the University of Florida.

He is a US Coast Guard Licensed Master Captain.