Building a High-Quality QAR Assessment Process

The quality assurance review (QAR) ensures a sustainable and high-performing internal audit function. In accordance with IIA standards, the QAR covers all aspects of internal audit activity, including a mix of internal and external assessments.

Attendees will be provided a lunch and will earn 3 CPE credits.

Learning Objectives:

• The fundamentals of building a high-quality QAR assessment process
• How to apply the IIA's International Professional Practices Framework
• Strategies for aligning the QAR process with business objectives, and board and management expectations
• Best practices to perform internal assessments and coordinate external assessments
• How to leverage technology in the assessment program

Please share what you would like to take out of the session and send any questions that you would like answered at this event to DCIIAPrograms@Gmail.com.

Speaker Bio

Ernest Anunciacion, Senior Product Marketing Manager, focuses on SOX and internal audit at Workiva, an IIA Industry Leader. He has over 15 years of global experience in the financial services, manufacturing, media, technology, healthcare, and agriculture industries. Ernest’s experience focuses on complex risk and control analysis and process improvement. His expertise combines ERM, internal audit, lean Six Sigma, and project/program management. Ernest is an active Certified Internal Auditor (CIA) and holds a Black Belt Certification in Six Sigma.

His internal audit experience began in GE Capital’s Corporate Audit Staff program. His financial services experience includes commercial and consumer lending, equipment financing, real estate, and treasury operations. Specifically, he has led teams responsible for validating economic models, capital and leverage calculations, debt and derivatives accounting, and regulatory requirements compliance. Ernest also has experience in building internal audit departments.

Ernest’s project management skills are derived from leading process improvement initiatives and leveraging Six Sigma methodologies. He has facilitated multiple LEAN workouts focused on value stream mapping and optimizing future state processes. He has also helped develop various program management offices (PMOs).

From a SOX perspective, Ernest’s experience stems from both business and IT processes. He has assisted companies in completing readiness assessments, designing and testing controls, and consulting on the support and testing of SOX environments.

Ernest holds an undergraduate business degree in Management Information Systems and Supply Chain Management and an executive MBA from the Carlson School of Business at the University of Minnesota.