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The Institute of Internal AuditorsNorthern California East Bay ChapterNEWSLETTERPhillip PomaPresident’s MessageChapter Members –I hope you are all doing well. I have the followingupdates to share:Chapter Year ActivitiesThe NCEB Board has approved the activities for thechapter year. Thank you to the Chapter Officers andGovernors who were involved in the planning,budgeting, and approval process. We have anamazing line-up of events planned, which will beginthis month and will continue to May 2021. Due tothe pandemic, we will hold events virtually for therest of 2021 and will reassess whether having eventsin-person will be a possibility in 2022.Program RecapThe first Program of the chapter year was held onSeptember 9, 2021 and was on the topic ofbehavioral ethics. The Program, which was a twohour event, was offered free to all IIA members as a“thank you” for your membership and support. Theevent invitation was extended to the chapters in theWest District #2, which included the NCEB, SanFrancisco, San Jose, Sacramento, Reno, and Hawaiichapters. I would like to thank our guest speakers,Jami Shine (IIA District Representative/Corporateand IT audit Manager) and Jay Wagner (IIA DistrictAdvisor/CAE) for their fantastic presentations. Iwould like to thank Ferdinand Erhard (VP ofPrograms), Philip Caoile (VP of Seminars), MiguelBarajas (Programs/Seminars Committee Member),and Jonathan Smith (Hospitality Chair) for workingas a team to plan this great event.Call for VolunteersThe NCEB Board is seeking volunteers. Some ofthe benefits of volunteering on the Board includeassisting in planning events for the ornia-east-bayIssue 371September 2021networking and working alongside great leadersfrom different organizations, enhancing leadershipexperience, being able to add the volunteerresponsibilities to one’s resume, and more!We are seeking volunteers for the followingpositions: Assistant Treasurer Advocacy ChairIf you are interested in volunteering for thosepositions or would like to chat about how you maybe able to volunteer in other ways, please reach outto me.News from IIA Headquarters: New Issue of Tone at the Top:Cybersecurity Is More Than an IT Issue —Does Your Board Know How to Manage theDangers?IIA Supports U.S. House Committee InRecommendation to Restore Navy InternalAudit FundingI look forward to your participation in the upcomingevents. Thank you for supporting the chapter.Michelle DizonChapter PresidentPrograms & SeminarsGreetings All,We had a 2-hour virtual training on September 9(2:00pm to 4:00pm PDT) presented by twoprofessional speakers from the IIA Speakersdatabase. Ms. Jami Shine will present “Shades ofEthics – Setting the Thermostat” and Mr. JayWagner’s presentation is titled “Auditing for an

SEPTEMBER 2021Ethical Culture that is Resistant to Fraud andMisconduct.” This event qualified for 2-CPE creditsin the NASBA behavioral ethics field of study. Myapologies in advance for those who could notregister earlier this week as the event’s registrationhad reached full capacity by September 6th and wasclosed.In October, Tali M. Ploetz of Gold StaffingRecruiting and Development will be delivering an8-hour seminar on the topic of "Fraud Auditing forInternal Auditors". This 2-day Seminar (4 hourseach day) will be held on October 20 & 21beginning at 8:00am to 12:00pm (PDT) and willcover the basics of fraud auditing, monitoringactivities, understanding the nature of fraud andhow it occurs, and internal audit's role in detectingfraud and fraud red flags. Please staytuned! Additional info and registration details willfollow shortly.Phil CaoileVP of ProgramsFerdinand ErhardVP of SeminarsAcademic RelationsWe are planning for upcoming virtual studentevents for Bay Area colleges. Students welcomeand appreciate the opportunity to engage withprofessionals. Your participation at these events is agreat way to promote the profession of internalaudit to the next generation of auditors. Pleasecontact us if you can attend this in person event:Friday, September 17.Meet the Firms CSU East Bay 4:30pm – 7:30pmWe are hoping to get one more volunteer toparticipate. Please contact us if you would like toparticipate.Amos Njoh: Awmm@Chevron.comJohn Pingatore JPingatore@ortc.comJason Salgado salgado5@llnl.govAmos NjohAcademic Relations ChairPAGE 2CertificationsCIA Prep ClassesAre You Looking for CIA Prep Classes?The IIA and its global education partners can helpyou prepare to pass the CIA exam this fall with inperson and online classes. The IIA’s expertinstructors teach the CIA exam syllabi, leaddiscussions, and provide tips for maximizing examscores. Please use the link to view the availablecourses: https://www.learncia.com/cia-courselistings.IIA Offering Special CIA Challenge Exam toCPA HoldersThrough September 30, 2021, the IIA is offering aone-part challenge exam to become a CertifiedInternal Auditor (CIA). As an active CPA licenseholder, you can take advantage of this rareopportunity to earn the Certified Internal Auditor(CIA) designation through an expedited process andjoin the more than 175,000 CIAs who haveachieved this highly respected global certification.The IIA is offering two limited-time promotions:1. Apply for the CIA Challenge Exam bySeptember 30th; sit for the exam inNovember 2021 or January 2022.2. Save 20% off Professional Membershipwhen you join the IIAAccept the challengetoday! www.theiia.org/CIAChallengeExamCIA Exam Study Groups/Message BoardStruggling with studying and passing the CIA? TheNorthern California East Bay Chapter wants tohelp! We are currently determining if there is a needto help facilitate study groups or create a messageboard on the IIA Northern California East Baywebsite to connect with other members who arestudying for the exam. Please reach out to ourCertifications Officer kathbk1211@gmail.com withany feedback. Thanks!Kathryn KarkCertifications Officer

SEPTEMBER 2021PAGE 3Employment OpportunityEmbark TrucksInternal Audit and SOX Program ManagerEmbark Trucks is a leading self-driving truckcompany bringing autonomous freight mainstream.We have raised 142m by partnering with TigerGlobal ( 70m Series C) and Sequoia Capital ( 30mSeries B) to help grow our team and introduce ourtechnology to the public. Currently, we movefreight daily between LA and Phoenix using ourpurpose-built transfer hubs. We have alignedourselves with truck manufacturers, shippers, andcarriers to integrate our technology into the freightecosystem. This is an incredibly exciting time forautonomous vehicles and our team is looking togrow. Embark is seeking an execution-oriented and strongteam player who is capable of working across theorganization and managing our Internal Audit andSOX Program within the Controller’s Department.This position works directly with business processowners on the identification of internal controls,including business process redesign, policies,procedures, documentation, evidence evaluation,and system enhancements. Every day is a new challenge, and you'recontinually looking for ways to help our team getbetter at what we do, in the most efficient waypossible. A team player at heart, you collaboratecross-finance and cross-functionally to manage bestpractices for your areas. You move fast whilekeeping your attention to detail, and you tap intoyour problem-solving skills to support Embark'sbusiness objectives. What You'll Do Create and execute the Internal Audit strategyand SOX project plan. Drive improvements on processes anddepartmental infrastructure to enablesustainability and effective execution, includingthe development, design, and documentation ofIA department policies & procedures. Ongoing Program Management andcoordination of SOX compliance efforts such asproviding structure, oversight, and driving project alignment within the team and keystakeholders (IT owners, Business Processowners and the external auditors).Develop strong, collaborative workingrelationships across all levels of the Company;maintain on-going and constant communicationswith key stakeholders.Conduct SOX impact assessment, lead businessprocess owners on walkthroughs, and assist withprocess mapping, control design andidentification of IT dependencies.Drive the preparation of reporting materials,including Audit and Steering Committeereports, and various status reports.Assist with setting up and operationalizing theEnterprise Risk Management (ERM) program.Prioritize projects identified through the annualrisk assessment, lead / participate in efforts todefine the audit objective for each project.Develop, lead, and execute comprehensive, riskbased financial, compliance, operational and ITsystems audits, with a goal of maximizingcompany performance and control, andminimizing risk.Leverage technology and data analytics toenhance effectiveness of the audits.Prepare high quality audit deliverables includingplanning memo, drafts of audit issues, auditreports, and presentations.Recommend improvements to processes,controls and test programs to enhance thecontrol environment and improveefficiency/effectiveness.Coordinate, coach and supervise the workperformed by peers, junior staff, and borrowedresources.Serve as subject matter advisor; champion risksand controls considerations, and corporategovernance concepts.Conduct ad hoc investigations as needed.Required Experience 6 years of relevant work experience in PublicAccounting, Internal Auditing, Enterprise RiskManagement, or with a large, global publiccompany in audit and/or operations. Proven experience in driving the execution of anend-to-end SOX program Proven experience in planning, leading andperforming internal audits.