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Robotic Process Automation Techniques You Can Use Presented by Paul Moriarty and Dmitri Ryssev G a l v a n i z e Agenda 1. Introductions 2. Galvanize - Who we are 3. Leadership Priorities (CEO, CFO) & Departmental Trends (Internal

  1. Robotic Process Automation Techniques You Can Use Presented by Paul Moriarty and Dmitri Ryssev

  2. G a l v a n i z e Agenda 1. Introductions 2. Galvanize - Who we are 3. Leadership Priorities (CEO, CFO) & Departmental Trends (Internal Audit) 4. Automation Maturity Curve 5. Case Study – Assurance through RPA 6. Review Key Take-Aways 7. Conclusion

  3. Introduction Paul Moriarty Account Executive Galvanize WEGALVANIZE.COM

  4. Introduction Dmitri Ryssev Solutions Consultant WEGALVANIZE.COM

  5. G a l v a n i z e Why Rebrand? How many here are customer of ACL or have been in the past? How many of you only know of ACL for Analytics?

  6. T r e n d s

  7. 7 G a l v a n i z e Deloitte: CEO & CFO Priorities O v e r 5 0 0 l e a d e rs f r o m 3 9 c o u n t r i e s r e p r e s e n t i n g a v a r i e t y o f o rga n i s a t i o n s t h e re p o r t 52% 48% 57% 79% C o s t R e d u c t i o n M a n a g i n g R i s k s N e w P r o d u c t s I n c r e a s i n g C a s h f l o w Ensuring that the risk Introducing new technology Among CEOs polled in Facilitate further growth, by exposure is within an as it relates to broader Deloitte’s Annual CEO survey, helping with lending rates acceptable threshold organizational goals and cost reduction reflects their and finance fees for strategy top priority acquisitions.

  8. 8 G a l v a n i z e Audit - Departmental Trends T h e h e a l t h of o u r b u s i n e s s i s d e p e n d e n t o n y o u r s u c c e s s a n d u n d e r s t a n d i n g t h e e c o n o m y a t l a r g e S h i f t o f R o l e M i n o r i t y R e p o r t s “ S m a r t ” C o n t r o l s Fixing problems before they become risks - Shift in internal audit managers to become Pervasive smart controls throughout the organization 1 st L.O.D. is responsible for more controls testing “Risk Advisor Roles” (problem solvers)

  9. “ Automation is not about decreasing head count, it is about moving up the value chain. By freeing up resources, auditors can shift time to proactive activities like business transformations and emerging risks becoming problem solvers rather than problem finders ” C h r i s t i n e K a t z i f f, C o r p o r a t e G e n e r a l A u d i t o r, B a n k o f A m e r i c a WEGALVANIZE.COM

  10. G a l v a n i z e Robotics & Automation Maturity Curve RPA becomes THE control – “ Analytics ” end here updates the procedures Business AND outcomes Value 4. Predictive Auditing 3. Proactive Auditing 2. Automated Auditing Galvanize RPA updates the 1. Sample/Manual effectiveness of the control and reports on it Auditing Audit Value Backward Looking Forward Looking WEGALVANIZE.COM

  11. L e a r n i n g O b j e c t i v e s Via Customer Case Study

  12. • Manufacturing Company • $3 Billion USD in Revenues Customer • Audit Team of 10 Case Study • Transformed their IT Audits WEGALVANIZE.COM

  13. G a l v a n i z e Case Study: Roadmap D i g g i n g D e e p e r • What process automation meant to them? • Top risks found against Active Directory • Transformation to automated Active Directory monitoring Acquiring Data • Automating Analysis • Assigning Action Plans • Reporting • WEGALVANIZE.COM

  14. Process Automation HighBond Results Collect, prepare provides fully Easy access to data and test data across automated workflow from any system. systems and reporting Data sources ACL Robotics Remediation and Reporting Active Directory HighBond Results HR Management ITGC Tests *Excel System UNIX System *Email WEGALVANIZE.COM

  15. G a l v a n i z e Standard Active Directory Tests T h e s t a r t i n g p o i n t Identify instances where: 1. Passwords set to not expire 2. Changes to security group members 3. Employees with multiple accounts 4. Default AD accounts still active WEGALVANIZE.COM

  16. G a l v a n i z e Top 7 Controls Identified E x p a n d i n g c o v e r a g e 1. UNIX Root (Super User) Privileges 2. Changes to Critical Security Groups 3. Active Directory vs HR User Information Mismatch Example 4. Non-Admin Users With Admin Access 5. Users With Multiple Accounts 6. Active Default System Accounts 7. User Accounts With Passwords Set To Not Expire WEGALVANIZE.COM

  17. G a l v a n i z e Active Directory vs HR Master List Identify instances where: 1. Active Directory users cannot be found in the HR master list 2. Specific information (manager, department, job title, email address) in Active Directory is different compared to a HR master list vs AD HR Master WEGALVANIZE.COM

  18. Acquiring Data WEGALVANIZE.COM

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  23. G a l v a n i z e Data Acquisition I t a l l s t a r t s h e r e • Connect directly to data sources Data is always up to date • ACL is strictly read-only Data sources remain secure • Obfuscate sensitive data Keep PII private • Clean, harmonize and normalize data Provide reliable results WEGALVANIZE.COM

  24. Automating Analysis WEGALVANIZE.COM

  25. G a l v a n i z e Automating Analysis P u t t i n g t h e Ro b o t s t o Wo r k • Analyze 100% of your data sets Make accurate conclusions • Built-in version control for scripts Collaborate effectively • Schedule analytics on recurring basis Monitor continuously • Audit log for every analytic Defend conclusions WEGALVANIZE.COM

  26. Effective Remediation WEGALVANIZE.COM

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  32. G a l v a n i z e Effective Remediation • Automate collection of additional information Drive action • Improve review visibility Maintain accountability • Alerts for items not being review Collaborate to completion WEGALVANIZE.COM

  33. Reporting WEGALVANIZE.COM

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  40. G a l v a n i z e Reporting • Easily customizable storyboards Save time • Provide evidence of success Improve attitude towards internal audit • Real-time updates Make accurate decisions WEGALVANIZE.COM

  41. G a l v a n i z e From the User’s Perspective T h e Va l u e I nc rease I nc rease Ex ec . Sav e Ti me Add Capaci ty A ssuranc e Vi si b i l i ty Without having to rely by increasing your with automated Automate on increased coverage. storyboards. Repetitive audit ▪ headcount and quick procedures hiring turnarounds Automated testing Show management Control Tests ▪ can analyze more data how they’re improving than a human over time. Risk Assessments ▪ Report prep ▪ WEGALVANIZE.COM

  42. Paul.Moriarty@WeGalvanize.com 1-(604)-446-5785 (cell) 1-(604)-646-4245 (desk) Please come see us at our --- both! Dmitri.Ryssev@WeGalvanize.com WEGALVANIZE.COM

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