Richard E Cascarino

PO Box ******

Steamboat Springs, Colorado 80477

United States

1-970-***-****

abhp37@r.postjobfree.com

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An Internal Audit consultant and lecturer with over 25 years

experience in Risk, Audit, Corporate Governance, Forensic, Internal

and Computer auditing education and author of the books Internal

Auditing-an Integrated Approach and Auditor's Guide to Information

Systems Auditing and the forthcoming book Preventing Fraud - It Could

Happen to You. He is also a contributing author to the Governance

section of Finance: The Ultimate Resource. He also has over 10 years

IT experience.

Career History

Richard Cascarino & Associates (03/2008 - Present)

Steamboat Springs, Colorado

Chief Executive

Richard Cascarino & Associates is an extension of our South African

company, Compact Business Services and is a global Internal Audit and IT

Consulting and Training firm with clients in over 15 countries worldwide

providing first-call services to Internal Audit functions and IT

departments for a variety of technical and support services.

As CEO with an international staff of six, responsibilities include setting

strategic direction for the organization, budgeting, marketing, IT

infrastructure, quality assurance and service delivery

Accomplishments

. Consulted to Internal Audit Departments in Financial Services on a

variety of audit areas:

. Developed and ran Basel II and III training in USA and Internationally

. Development and Implementation of IT Security Architecture for Banking

Clients

. Re-aligned the strategic direction of a service supply company to

obtain $12 m in new contract orders

. Developed a new Risk Assessment methodology for rapid deployment in

entity-wide implementation

. Conducted training assignments for Institute of Internal Auditor

chapters, ISACA chapters and internally for clients on the USA and

overseas

. Trained on use of ACL and IDEA as Audit Tools

Compact Business Services (Pty) Ltd (01/1989 - 03/2008)

Johannesburg, Gauteng South Africa

Chief Executive

Compact Business Services is a global Internal Audit and IT Consulting and

Training firm with clients in over 15 countries worldwide providing first-

call services to Internal Audit functions and IT departments for a variety

of technical and support services.

It has also, in the past, provided the administration for the Institute of

Internal Auditors - South Africa, the South African Society of Quality

Assurance, and several other organizations.

Clients are now serviced out of the US company.

As CEO with an international staff of 4, responsibilities include setting

strategic direction for the organization, budgeting, marketing, IT

infrastructure, quality assurance and service delivery.

Accomplishments

. Consulted to Internal Audit Departments in Banks across Africa on

audit of:

o Compliance

o Institutional Investment

o Custody

o Treasury

o Trading

o Foreign Exchange

o Securities Services

o Asset Management

o Mutual Funds

o Derivatives

. Assisted several African companies establish an Internal Audit

Function

. Consulted in strategic planning for several large Internal Audit

Departments

. Assisted large organizations successfully implement Control Risk Self

Assessment

. Consulted to South African organizations aligning themselves with SOX

requirements

. Consulted to Central, Commercial and Investment Banks in Africa on

Basel II and other legislative compliance issues

. Consulted to several organizations on the Strategic implementation of

IT and on IT security

. Trained Internal Auditors in 10 countries in Africa and the Indian

Ocean Islands

. Developed Undergraduate and Graduate Degree programs in Internal Audit

and IT Auditing now in use at several South African Universities and

overseas

. Conducted Quality Assurance Reviews for Internal Audit departments, IT

Security departments and Forensic departments

. Conducted IT Security audits, Corporate Governance audits, Operational

audits, Program-results audits and Forensic audits for a variety of

clients

Coopers & Lybrand, (01/1987 - 01/1989)

Computer Assisted Audit Group

Johannesburg, Gauteng South Africa

Senior Audit Manager

Coopers & Lybrand, prior to becoming Price Waterhouse Coopers, was one of

South Africa's leading firms of external auditors.

Accomplishments

. Responsible for running the Computer Assisted Audit Group for South

Africa.

. Conducted Computer Assisted Audit Techniques for Banking and Insurance

institutions

. Managing and conducting technical audits and security reviews in IBM,

UNISYS, HP and DEC VAX environments, specializing in MVS, VM, CICS,

ADABAS, IDMS and IMS software in the IBM environment.

. Conducted technical training on mainframes, minis and micros

internally and for clients

The Anglo American Corporation of South Africa Limited, (11/1983 - 12/1986)

Group Audit Services Johannesburg, Gauteng South Africa

Divisional Audit Manager (EDP)

The Anglo American Corporation was, at that time, the largest conglomerate

in Africa owning some 60% of the equity on the Johannesburg Stock Exchange

and with interests in mining, manufacturing, finance, insurance and

agriculture.

My responsibilities were to develop the IT capability within the Internal

Audit Function and provide technical support to that function as well as

undertaking technical and managerial audits, provision of a consulting

service to group companies.

Accomplishments

. Anglo American became acknowledged as having the leading-edge IT audit

function in the country

. Conducted technical IT audits, business requirements studies

. Restructured the IT function in two subsidiaries

The Okhai Group (01/1981 - 11/1983)

Dundee, Dundee United Kingdom

Chief Information Officer

The Okhai Group consisted of four companies operating internationally in

the manufacturing, wholesale and retail sectors.

My responsibilities included the total responsibility for the I.S. planning

and usage of all four member companies in the group.

Accomplishments

. Set up the largest on-line network of Burroughs small systems in the

U.K.

. Computerized the total business for all member companies including

Production Control for the two manufacturing companies and general

ledgers and subsidiary ledgers for all companies

. Developed one of the first EDI systems in the UK

. Developed the DRP for the company

Various other IT in UK (09/1969 - 12/1980)

Education

University of Witwatersrand

Master of Business Administration

Thesis on the Marketing of Internal Audit

Kirkcaldy Technical College

SCOTBEC Diploma in Computer Data Processing

Certifications

CFE - Certified Fraud Examiner

CISM - Certified Information Security manager

CIA - Certified Internal Auditor

CISA - Certified Information Systems Auditor

Languages

Afrikaans

English (Native)

French

International Experience

Global (Current)

Geographic Preference

United States

All States or Provinces

Eligible Country

United States - Green Card

United Kingdom - Citizen

South Africa - Work Permit

Publications

. QFinance: The Ultimate Resource- Published by Bloomsbury Publishing,

London 2009

. Auditor's Guide to IS Auditing - Published in USA by Wiley Publishers

2007(now in use at several universities worldwide)

. Internal Auditing - An Integrated Approach - Published in South Africa by

JUTA - January 2005 (now in use at several universities worldwide) Second

Edition 2007

. Various editorials published in Internal Audit Magazines

Audit Committee Membership

Audit Committee Chairman - Gauteng Audit Committee Johannesburg - Cluster

2 (Office of Premier, Shared Services, Health)

Audit Committee Member - Department of Public Enterprises

Academic Experience

2006- present External examiner on the MBA Programme at the University of

the Witwatersrand

1999-2008 Course developer and Course Co-ordinator and examiner on the

B.Com. in Internal Auditing and B.Com (Hons) at the University of the

Witwatersrand

1999-2003 Course developer and external lecturer and examiner on the B.Tech

Internal Audit program at Technikon SA

1998 External lecturer and examiner on the B.Tech Internal Audit program at

Technikon Pretoria

1990-2008 External lecturer and examiner on the H.Dip program in Computer

Auditing at the University of the Witwatersrand

1986-1988 External lecturer and examiner on the Masters programme in

Computer Auditing and Consulting at RAU (now the University of

Johannesburg)

Professional Activities

2010 Board Member - Global Audit Advisory for Banking

2010 Board Member - Global Audit Advisory for Insurance

1993-1994 Southern African Regional Director of the Institute of Internal

Auditors Inc

1990/91/92 President of the Institute of Internal Auditors-South Africa

1991-1992 International Vice-chairman of IIA Inc Quality Assurance

Committee

1989-1991 Founding Southern African Regional Director of the Institute of

Internal Auditors Inc

1989-1990 Senior Vice President of the Institute of Internal Auditors (SA)

1987-1989 Vice President (Professional Services) of the Institute of

Internal Auditors (SA)

1988-1989 Chairman of Johannesburg Region of the Institute of Internal

Auditors (SA)

1987-1990 South African representative on IIA Inc International Advanced

Technology Committee

1986-1994 Editor of Audit Update and Internal Audit Review magazines

Bank Auditing Experience

Assisting in the introduction of Control Risk Self-Assessment

* SA Reserve Bank - International Division

* Bank of Botswana

* Mauritius Commercial Bank

Assisting in the planning and Implementation of Internal Audit

* Imperial Bank of South Africa

* Standard Bank of South Africa

* First National Bank of South Africa

* ABSA Banking Group (South Africa)

* Volkskas Bank

* Boland Bank

* Trustbank

* Bank of Lisbon

* Permanent Building Society

* UBS

* Mauritius Commercial Bank

Banking Activities involving Basel II, Risk, Internal Control and

Compliance With Internal Audit: Consulting on Basel Compliance and Basel

Auditing to the auditors of:

* ABSA Banking Group (South Africa)

* Bidvest Bank (South Africa)

* Mercantile Banking Group (South Africa)

* Standard Bank (South Africa)

* Standard Chartered Bank (South Africa)

* HSBC (South Africa)

* Citibank (South Africa)

* Capitec Bank (South Africa)

* Investec Bank (South Africa)

* Bank of Namibia (Namibia)

* KPMG (South Africa)

Assisting in implementation of Basel II Operational Risk controls

. Mauritius Commercial Bank (Mauritius)

Consulting and training to Central Banks on risk control and general

regulatory compliance

* South African Reserve Bank

* Central Banks of:

o Botswana

o Zimbabwe

o Mozambique

o Tanzania

o Zambia

o Namibia

o Angola

o Malawi

o Ghana

o Kenya

o Uganda

Other Enterprise Risk and Compliance Training to members of Banking

Associations

* Institute of Bankers in South Africa

* Bahrain Institute of Banking and Finance

* Kenya (via the Kenya College of Accountancy)

* Macroeconomic and Financial Management Institute of Eastern and Southern

Africa on Managing Treasury Risks for the Central Banks of: Angola,

Botswana, Kenya, Lesotho, Malawi, Mozambique, Namibia, Rwanda, Swaziland,

Tanzania, Uganda, Zambia and Zimbabwe

US Banking Involvement

Consulting to Internal Audit -

Community Bank - $1.5b assets (SpiritBank of Tulsa)

Internal Audit Training:

Top100 bank - $1.3t assets

Development Bank - $100b assets

Colorado bank - $2.5b assets

Missouri Community Bank - $3.0b assets

Kansas Community Bank - $ 2.0b assets

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