Resume - Michael L. Bartlett – Enterprise Risk Manager

Michael L. Bartlett 703-***-**** (mobile)

**** ********** ****

#204

Naples, FL 34110 E-mail: ac6t3g@r.postjobfree.com or ac6t3g@r.postjobfree.com

A leader in Government, large Banks, Financial Services, and industrial organizations with 15+ years substantive enterprise-wide and business unit risk and compliance management experience offers expertise in developing and executing strategies to mitigate Enterprise Risk and enhance regulatory compliance.

Implemented or managed risk under Risk Management Framework standards adopted by employers/clients including:

COSO Enterprise Risk Framework

BASEL (BCBS) – Capital adequacy, stress tests, market liquidity

ISO Risk Management (ISO 31000/ISO 27001)

NIST 800-37

DODD Risk Management DODD 8510.01/DODI 8510.01

OCC Risk Management (enhanced) Guidelines

OCC Bulletins 2013-29 (2017-07) 3rd Party Risk; 2000-16 Model Risk; 2015-48 Risk Assessment Systems/CAMELS; 2008-12 Payment Processing/ACH,

CFPB Bulletin 2012-03

…and/or identified opportunities for improvement of Federal financial management and accounting systems under

Federal Financial Regulations (FMFIA, FFMIA) and/or as implemented by OMB Circulars (e.g., A-11, A-123)

Implemented both COTS and ‘home grown’ Enterprise Risk Management Systems (ERMS) for N.A. Banks and Bank Holding Companies.

Risk Management Experience Summary

Function

Years

Description

Enterprise Risk Management

15+

Implemented Enterprise Risk Management frameworks for N.A. Banks, Government organizations and Defense companies and installed/tested ERM systems and led control improvement projects.

Business Unit Risk Manager

8+

Trained and led business unit and functional organizations completing risk assessments, reports of audit, effectiveness assessments and other risk identification/assessment tasks (e.g., RCSA)

Risk Assessments

15+

Designed, applied standards and conducted enterprise, business unit and process-focused risk assessments for Banks, Financial Services, Defense Industry, and Government organizations to identify, define, characterize, dimension exposures and control effectiveness to report residual risk. Led Systems Engineering efforts to identify technical and other program risks for major weapons systems and business system projects.

Project Manager – Risk Corrective Action Plans (CAP)

15+

As a Bank manager or consultant, I successfully managed IT and non-IT projects that corrected deficiencies identified during examinations, audits, IG investigations or self-identified during RCSA or similar activities

Legal/Litigation Risk

2+

Hand-picked by Chairman of the Board to manage highly sensitive, high-risk remediation projects and litigation support to respond to subpoenas issued by Federal Courts and State Attorneys General supported by SharePoint.

Risk Control Self-Assessments (RCSA)

7+

Implemented a Risk Control Self-Assessment (RCSA) process for a large regional Bank’s Technology and Information Security business units. Collected, organized, analyzed and reported exposures to operational and other risk areas in an enterprise risk management tool. Developed a Risk and Controls Matrix for mortgage loan sub-servicer to establish the basis for a Mortgage Loan servicing process RCSA.

Regulatory Examinations

20+

Led Bank response to and received ‘pass’ rating following high-risk, annual compliance (e.g., Fair Lending) and other regulatory examinations (OCC, SEC); Led industrial organizations to ‘no finding’ DCAA audits and labor/overhead rate audits. Planned and conducted effectiveness assessments of Internal Audit, Compliance and Risk Management functional organizations and processes.

Examination/Audit Preparation and other high-risk events

20+

Performed pre-examination, pre-audit risk assessments to identify and address exposures prior to regulatory examinations, as well as, internal, external and independent audits including implementing a model risk program to comply with OCC Bulletin 2000-16, SOX and consumer lending regulations (e.g., RESPA, ECOA, FHA, FCRA). As a Defense contractor, prepared business units/functional organizations for DCAA audits, GFE audits and other Government QC testing, audits or investigations.

3rd party/Vendor Risk

15+

Performed vendor management including initial due diligence and annual assessments of vendors and other 3rd party service providers. As a Government official evaluated the quality of products and services delivered by vendors under Government contracts and prepared QDRs and other discrepancy reporting, as required, to ensure contractors/suppliers remedied the discrepancies.

Other related experience or accomplishments:

Top Secret clearance through July 2012; Current Public Trust clearance through DAV.

Education and Training:

College University Education

Focus of Study

University of California, Davis

BA

Political Science/Economics

University of Southern California

MS

Systems Management, Statistics

California Western University Law School

Contract Law, Universal Commercial Code, Administrative Procedures Act

Specialty Training - Government

Training Objective

Defense Acquisition University – PM Course

PM

Certified Program/Project Manager - DAWIA Level III – Project Risk

AFIT W-P AFB - Contract Administration – 120 hrs.

CO

Contracting Officer/COTR – Counterparty/Vendor/3rd Party risk

Business Office Applications

Knowledge/Skill Objective

Standard PC/Laptop operating system and application

IBM PC/Apple Operating Systems//MS Office Suite plus MS Project, VISIO, PowerPoint, Excel, Share Point

Risk Management Principles

Mission-critical Risk Training

USMC “The Basic School”

IO

Infantry Officer/Platoon Commander

Naval Air Training Command

NA

Naval Aviator/Standardization Pilot/Test Pilot

Experience Chronology

Apr 18 – present

Employer: Capco Inc. LLC, Grand Junction, CO

Developed, implemented and manage and enterprise wide risk management program to include Operational, Security (Physical, Cyber, IT, OPSEC) and Compliance Risk.

Provide process design and training assistance to Business Development, CFO, and other departments to address control deficiencies.

Planned and executed an enterprise risk assessment and Strategic Plan.

May 09 – Mar 18

Self-employed: R-M2 Consulting

Title: Consultant/Owner

Delivered Risk and Regulatory Compliance services to Government (Federal, Local), large banks and financial services corporations to identify, characterize, dimension, assess and remediate operational and regulatory compliance deficiencies.

Managed projects to remediate deficiencies reported in Reports of Audit, Regulatory Examination ‘findings’, MRA and those self-identified during compliance risk assessments

Clients included Federal and Local governments, TD Bank, JPM Chase, US Bank, Capital One, PNC Bank, GE Capital, Cenlar FSB, Citibank, Defense companies and national accounting firms (e.g., Navigant, Promontory, SolomonEdwards).

Managed proposal risk for companies responding to solicitation for contracts from US Government Departments of State, Justice and Defense.

Skilled IT and non-IT program manager able to produce outstanding and timely results on complex, high value business and complex applied technology programs and projects and managing large, cross-functional teams.

Financial Services Industry

Dec 03 to Apr 09

Employer: Bank America Corporation (BAC)/Countrywide Financial Corporation (CFC), Calabasas, CA

[on 1 July 2008 BAC completed the acquisition of CFC]

Title: Credit Risk Manager 9/2008 – 4/2009

Provided a broad range of portfolio and counterparty risk assessments and managed critical projects to mitigate exposures and potential losses.

Assessed risk inherent in customer-facing organizations [Investor Audit, Investor Relations] and provided summary overviews to internal and external customers.

Managed 3rd Party/vendor risk and contracts with advisory services, audit and consulting companies.

Title: Manager, Project Management Office – Risk Mitigation Project Mgr 2/2008 – 8/2008

During the MBS market collapse, led a successful organization transformation project to reduce counterparty risk by streamlining B-to-B operations, upgrading due diligence processes/procedures, realign roles and responsibilities and installing improved controls.

Responsible for vendor/3rd party risk management and quality control.

Title: Compliance and Operational Risk Manager - Countrywide Bank 12/2003 – 2/2008

Provided timely risk assessments and regulatory compliance reports to senior Executive leadership including the Chairman of the Board [Banking and Insurance] and President/COO, Countrywide Home Loans

Coordinated planning and management of projects/contracts designed to address business process deficiencies, increase sales and lower cost of operations.

Solicited and evaluated contractor (consultant, audit, advisory) proposals; Managed consultant contracts to achieve objectives and control costs.

Acquired and implemented a COTS Enterprise Risk Management System (ERMS).

Employer: Naval Air Systems Command, Washington DC and Patuxent River, MD

1984 - 2002

Title: Supervisory Program Manager [TS Clearance]

Project Management – Risk Mitigation Projects

Engineering Investigation Program

Created first ever end-to-end, web-enabled quality control business process for the Department of Navy. Winner of 2001 Department of the Navy “e-Gov” award and became the DOD standard Joint Discrepancy Reporting System (JDRS).

Engineer/Scientist Recruitment Program

Designed and implemented an innovative, highly successful program to recruit scientists and engineers to fill critical vacancies within a short time-frame.

Accounting and Financial Management System Implementation

Led the team to reengineer one of the most complex Accounting and Financial Management applications in the Federal Government

Successfully negotiated directly with Director, Defense Finance and Accounting Service (DFAS) and Navy Financial Management/Comptroller Executives to solve complex implementation challenges, gain support and assure compliance with public law and regulations and lower execution risk.

Strategic and Business Planning

Worked with flag-level Executive leadership to facilitate the development of the first compliant Strategic Plan for a 7000 employee, $13.0B annual revenue, Navy Working Capital Fund (NWCF) Research, Development, Test and Evaluation (RDT&E) activity operating in six States and three foreign countries.

Business Process Reengineering and Process Documentation

Developed a concept, a proposal, and then convinced Field Activities and major Commands to actively support enterprise-wide process reengineering projects.

Led a Team tasked to identify, define and document all critical business, technical and engineering processes including quality control and quality assurance.

Military Service: United States Marine Corps

Captain USMC Reserve Naval Aviator “Cobra” Helicopter Pilot

Served two combat tours. Ground duties included Quality Assurance Officer, Ordnance Officer, S-4 Officer and Classified Document Control Officer. Awards for heroism and meritorious service.

Recognition, Accomplishments and Awards:

Navy Superior Civilian Service award and medal

Navy Meritorious Civilian Service award and medal

2001 eGov Award-Department of the Navy

Commander’s Award - Naval Air Systems Command

Level III Defense Acquisition Workforce Improvement Act (DAWIA) Certifications

--Program Management

--Business/Financial Management

Numerous outstanding performance awards and other recognition

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