Using Data Analytics to Meet Regulatory & Compliance Requirements

Wednesday, August 21, 2013
Panel Discusion: 2:00 – 4:00 PM
Reception: 4:00 – 6:00 PM

Event Location: UHY Advisors Offices, 2929 Allen Parkway, Suite #20, Houston, TX 77019
Event Description: We know them well, OFAC, SOX, FCPA, HIPAA, Dodd-Frank Act, and countless others. The ever-present challenge to meet these requirements weighs heavily on internal auditors, and the consultants supporting them. However, with the right skills and tools, you can not only meet regulatory and compliance requirements, but actually protect and improve operational efficiencies. We’ve gathered a panel of experts to share some of their best practices for meeting the demands of regulators and key stakeholders within their organizations.

Learning Objectives:

  • Best practices for obtaining data and using data analytics in a regulatory environment.
  • How to identify internal control weaknesses, and areas where controls are needed.
  • Areas where the use of data analytics can be expanded and add benefit when working to meet regulatory and compliance objectives.
  • How to assess readiness to support new regulatory requirements and build a framework for emerging compliance issues.
  • Best practices for reviewing anomalies and intelligence gleaned from analytics.
  • Business benefits of moving from ad-hoc analysis to continuous monitoring.
Who Should Attend: Financial professionals using or considering data analytics tools to improve their regulatory and compliance activities.
Program Level: Basic
Field of Study: Audit
Advanced Preparation: Participants must have basic knowledge of using IDEA, and/or attended the complimentary Getting Started with IDEA Webcast.
Prerequisites: General understanding of data analytics is recommended.
Delivery Method: Group live event
CPE Credit: 1.5 hours
Cost: $25 for advanced registrations and $35 for walk-ins
Register: Houston Tech Panel

[Moderator] Dale Timmons, Managing Director
UHY Advisors, LLC

Dale Timmons brings more than 30 years of experience as an IT consultant to his role at UHY, where he brings practical solutions to middle market and larger clients in a variety of industries. Clients rely on his expertise to quickly design large platform implementation projects, particularly his extensive experience with SAP. Prior to joining UHY via a merger with GCRM Solutions, Dale was an SAP consultant with PriceWaterhouse. He earned a BS in business administration from Kearney State College and an MBA in marketing and management from the University of St. Thomas in Houston.

Guy Morgan, President & Founding Partner
Morgan Garris, LLC

Guy Morgan has over 30 years of experience in financial management and consulting. He has a proven track record as a corporate financial practitioner, having held both Corporate Controller and Chief Financial Officer positions, as well as Director of Internal Business Controls for a number of public companies. In his current role, he helps clients review and redesign their business processes, strengthening the confidence and increasing the reliance CFOs and CAOs place on their processes, internal controls and the accuracy of their financial reporting. Guy earned a BSIM from the University of Akron.

Norman Comstock, Managing Director
UHY Advisors, LLC

As managing director for UHY Advisors, Norman Comstock leads advisory and assurance services for internal controls management, internal audit, and information technology. Norman has significant experience in facilitating and designing control self-assessment programs and applying information technology and process solutions to improve internal controls management and audit efficiency and effectiveness. He has more than 20 years of auditing, application development, and technology consulting experience, and serves in leadership roles for ISACA, IIA, and other professional organizations. Prior to joining UHY, Norman was president of GCRM Solutions, LLC. He earned an M.S. in international business and an MBA in marketing from the University of St. Thomas in Houston and a BBA in accounting from the University of Houston.

Jennifer Ellison, Legal Compliance Manager
Baker Hughes, Inc.

Jennifer Ellison brings more than 17 years of experience to her role as Legal Compliance Manager for Baker Hughes where she supports the CCO by managing FCPA related auditing and monitoring activities. Her diverse background includes forensic audit, managing corporate investigations, administering code of conduct and conflict of interest certifications, and conducting ethics training for managers. She is an advanced IDEA user and is the original author of Audimation Services’ Social Security Audimated App. Prior to joining Baker Hughes, Jennifer served as Ethics and Compliance manager at Schlumberger/Smith International and various audit roles at Halliburton and Union Carbide. She earned a BS in MIS from Ambassador University.

Kirk Monroe, Senior Internal Auditor
Powell Industries, Inc.

Kirk Monroe is currently the Sr. Internal Auditor for Powell Industries, an electrical power products company headquartered in Houston, TX. Kirk started his career in external audit with Grant Thornton LLP in 2008, where he worked until 2010. Kirk then went to work for McAlister Investments, a Private Equity Real Estate group based in Houston, where he spent 1 year. He has been in Internal Audit since 2011 and holds a MBA from the University of St. Thomas.