ANTHONY M. SPATARO

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

Medford, New York 11763

Home # 631-***-**** e-mail

HYPERLINK "mailto:ad24i9@r.postjobfree.com" ad24i9@r.postjobfree.com

Cell # 631-***-****

PROFILE

Banking and auditing professional with more than 30 years’ experience. Excellent team worker with strong

communication skills. I have in depth knowledge of general ledgers, accounts payable/receivables and payroll. I’m also experienced as a liaison with external auditors and government regulators regarding SOX 404, control reviews and internal financial audits.

Broad professional competency in all Bookkeeping procedures

RECENT EXPERIENCE;

The below assignments were conducted by myself as a self employed Audit/Finance consultant from 1997 to 2022 (AMS Co. Inc. S Corp). Prior to 1997 I was employed by JP Morgan Trust from 1980 to 1997.

Director of Finance

Alzheimer’s Disease Resource Center East Islip NY May 2016 to Present

Perform all bookkeeping duties using “Quick Books 2013”. Duties are as follows:

Reconcile all checking and Investment accounts on a monthly basis

Reconcile donor website (authorize.net) to bank deposit accounts monthly

Monthly Reconciliations of general ledger entries

Prove monthly payroll and 401k activity

Review and post Accounts Payable and Receivable Invoices to QuickBooks

Follow up on all payable and receivable inquiries.

Review and all necessary adjusting entries

Develop Instruction Manual for Financial postings

May 2014 to March 2016

Contracted by Grant Thornton LLP

Performed internal audits for Investment and Investment accounting areas for one of Grant Thornton’s banking clients (Apple Bank NYC). Audit responsibilities were as follows:

Detail testing of Fixed Income Trading

Detail testing of Derivative trading and fair value pricing.

Review of monthly reconciliations to General Ledger for Equities and Fixed Income

Detail testing of loan participation lending for Investments purposes.

Participated in writing control recommendations to Chief Investment Officer (CIO).

Contracted by North Shore Youth Council

Bookkeeper/Audit Temp Position October 2013 to April 2014

Perform all bookkeeping duties for non-profit organization using “Quick Books”. Also perform internal audit, develop control procedures and reconciliations. Review bills/invoices for A/C payable/receivables.

Reconcile all checking account on a monthly basis

Monthly Reconciliations of general ledger entries

Prove monthly payroll and 401k activity

Post expenses to expense account

Review and post Accounts Payable and Receivable Invoices to QuickBooks

Respond to Accounts Payable and Receivable inquires

Developed internal control procedures for Board of Directors

Developed Bookkeeping instructional manual

Assisted in NY State and workman Comp Audits

Sterling National Bank - Sarbanes Oxley - Financial Controls May 2007 to September 2013

SOX Testing

Conducted SOX testing (404) and maintained on line documentation for all tested areas, responsible for follow up all noted deficiencies and remediation documentation. Maintained and prepared work papers on line for review by management, Office of the Controller of Currency (OCC) and external auditors. In addition to testing, the areas listed below, re-performed reconciliations to balance sheet and Income statement to assure reliability.

Commercial Real Estate – Performed control testing regarding lending authority, appraisals, site visits, environmental reports and collateral.

SNB Residential Mortgage Company – Reviewed documentation for closing check lists, loan to value, lending authority and appraisals. Performed control reviews/re-calculate for past due loans and interest income reversals (Mortgage ware)

Accounting/General Ledger-review of closing entries for 10Q and 10K.

Payroll Systems

Professional Banking

Resource Funding - (JD Edwards)

Asset Base Lending (ABL)

ABL and Resource Funding Field Examinations

Money Transfer/Wire Services

Investment Department

Contracted by AEGIS Software – Business Analyst

Nomura Securities Inc. (NSI) – NYC January 2006 to May 2007

Sarbanes-Oxley 404 & Business Analyst (BA)

SOX – IT Liaison & Documentation Specialist

NSI was converting to a new securities processing system (XENOS). Duties include interfacing with NSI SOX team on behalf of the IT developers to ensure the GAPS are addressed and control procedures that were documented for the prior processing system are going to be established in the processing system in development. As a BA performed quality assurance testing for Fixed Income Processing. The areas of responsibility included the following:

Commercial and Residential Whole Loans

Fixed Income (Government Bonds)

Repurchase Agreements

Corporate Actions (Reorgs)

US Equities and Convertible Bonds

Stock Loans International

Bond Future Options

Japanese and Foreign Equities

Hudson Financial Solutions

Bank of Montreal – Toronto Canada March 2005 to August 2005

Sarbanes-Oxley 404 – Financial Governance

·Responsible for performing compliance detail testing in relationship to section 404 of the Sarbanes- Oxley Act (SOX) for high risk areas such as Specific Allowance on Corp. Loans, Capitalization of Software and Equity Futures Trading.

·Responsible for populating the SOX 404 template that depicted an overview of the assigned area, the control responsibilities, work flow process and the test procedures performed.

·Performed walk through testing of the work processes for assigned areas.

·Assembled and cross-referenced pertinent documentation needed for evidence review.

·Responded to management quality review inquiries and recommendations subsequent to forwarding SOX report templates to senior management (CFO’s & Managing Directors).

Park Hudson International

JP Morgan Securities Inc. April 2004 to February 2005

Sarbanes-Oxley & Government Bond Accounting

·Responsible for performing compliance detail testing in relationship to section 404 SOX for accounting reconciliation’s for Government, Municipal Bond and Mortgage Backed securities accounting sections.

·Responsible for interacting with JPM Chase outside audit firm (PW) to ensure proper documentation for SOX work papers and authorization is referenced on reconciliation reports.

·Performed Documentation reviews for Government & municipal bond and Mortgage Back securities.

·Assisted in evaluating existing control matrices for the areas mentioned above and back office trading and stock lending areas.

·Responsible for daily posting of trade and adjusting entries to the firms General Ledger (G/L).

·Performed daily reconciliation’s of government bond trades to the firms General Ledger (G/L).

·Responsible for recording and following up to final resolution, all open reconciling differences (breaks).

Contracted SECURITIES BROKERAGE SERVICES

Fifth Third Bank – Cincinnati, Ohio (Consultant) November 1997 to May 2003

Treasury Operations

·Performed an audit review of the Treasury and Trust Operations General Ledger. Responsible for reconciling back dated cash discrepancies for Government Bonds and fixed income assets.

·Assisted the IT group in providing data for weekly reports (matrixes). The reports reflected identification of trade’s discrepancies for cash recovery.

·Performed reconciliation (audit) of cash trades between the FRB and Fifth Thirds Trust Operations records.

·Assisted in preparing financial data (excel spreadsheets), for review by regulators (FRB).

EDUCATION

Queens Borough Community College - Accounting

PROFESSIONAL DEVELOPMENT

Management Communication Development for Supervisors, JP Morgan

Credit Card & Bank Fraud, (FBI) for JP Morgan

Supervisory Communication – Sterling National Bank

Equal Opportunity Employment/Sexual Harassment Awareness Sterling National Bank

Performance Evaluation, JP Morgan

PC SKILLS

QuickBooks – Financial Bookkeeping

Logic Manager – SOX & Risk Analyst System

Microsoft Windows 2000

Windows for Word

Microsoft Excel

Global Plus – Processing System

SUNSTAR (SUNGAURD) Corporate Trust Processing System

Jack Henry – Deposit and Security Processing System

INTEREST AND VOLUNTARY WORK

Blue Ridge Home Owners Association Board of Directors (HOA) October 2013 to Present

Elected as Treasurer for the HOA. Responsible for reviewing all monthly financials requested by myself and the HOA CPA. Responsible for implementing payroll system (ACCU-DATA) and new financial system (SAGE Peachtree).

Served as President for 2021 - 2022

Responsible for producing monthly treasures report

Consult on projects for up-keeping community building (club house building and offices), golf course, indoor and outdoor pool and Sewer Treatment Plant

Responsible for reviewing and approving all accounts Payable billing

Responsible for assisting bookkeeper in resolving A/P and A/R inquiries

Review all outside vendor contracts

Review monthly payroll reconciliations

Responsible for preparing annual budget >$2,000,00.00

Monitor budget analysis on a monthly basis

OTHER INTEREST

Past Treasurer – Independence Party Political Action Committee

Judiciary Committee for the Independence Party

Former member Sterling National Bank’s Employee Advisory Board

Former President - East Islip Chamber of Commerce

Former member of the Bay Shore Knights of Columbus - Building Board of Directors

Contact this candidate