Security, Human Resources & Audit: A Partnership

Presentation Abstract

The Security, Human Resources and Audit functions often appear to be in conflict when issues surface that threaten the institution's integrity. This happens because the Security function is really responsible for the good of the many while the Human Resources function is perceived to be responsible for the good of the one. Audit, of course, manages compliance and correction efforts for the entire institution. These three functions are actually the best allies for resolving both internal and many external issues and this presentation offers a baseline approach to turning potential adversaries into cooperative working partners.

The Security, Human Resources and Audit functions often learn secrets -- and conduct investigations -- that they don't always share with the other function. Security often doesn't know about the steps that Human Resources must take when disciplining or terminating an employee. Human Resources often doesn't know about the investigative process required to address internal crime and related security issues. Audit is frequently unaware of the far-reaching effects of an internal investigation and its impact on process integrity. Developing a strong partnership among these functions is essential to both reduce risk and maximize loss recovery.

This presentation provides a logical and strategic model that's designed to help the institution's Security, Human Resources and Audit managers to understand the true scope of security-related processes and industry-standard investigative practices. The crime of embezzlement is used to demonstrate a "best-of-all-worlds" partnership. By understanding the cause and effect relationships involving the creation of a functional partnership, the Security Officer may use this model to design and implement a standardized, institution-wide Security Program that makes the best use of the organization's resources -- its people, places and things.

Presentation Topics

l         Introduction

l         What Is "Security"?

l         Potential Conflict Categories & Examples

l         What Is "Embezzlement"?

l         What Does The Security Function Investigate?

l         What Should Human Resources & Audit Do To Prevent Embezzlement?

l         What Should Human Resources & Audit Do To Help Investigate Embezzlement?

l         What Records Will Likely Be Required During An Embezzlement Investigation?

l         Summary

Presentation Objectives

This presentation is designed to help you:

l         Identify and describe the primary functions for which the Security, Human Resources & Audit Departments may be held responsible during an investigation -- and the political environment components that affect the institution-wide Security Program

l         Assess the institution's current functional partnerships included in the security environment -- and potential changes to it

l         Design or recommend appropriate changes to the institution's policies, procedures and practices

l         Identify and describe appropriate sources of information and support for the professional development of the Security, Human Resources and Audit managers and other security-related personnel

l         Train or recommend training for the Board of Directors and senior management personnel about the investigative responsibilities of the Security, Human Resources and Audit managers relating to investigative matters

Presentation Audience

l         Security Officers

l         Human Resources Managers

l         Auditors

l         Board of Directors

l         Legal Counsels

l         Training Managers

l         Compliance Officers

Presentation Tools

l         Workbook text

Last updated on December 17, 2010