Sandra A. Bartik

adtdyc@r.postjobfree.com

PROFESSIONAL SUMMARY

Compliance and Risk Program/ Project Manager with twenty five plus (25+) years of industry experience analyzing and preparing organizations to respond to risks in a changing environment. I have provided team building leadership and project management in a wide range of financial, government and non profit organizations. Primary focus has been in regulatory and information governance to reduce risk by implementing government mandates/ programs in a compliant and effective manner. Currently interacts with key enterprise stakeholders on institutionalizing and maturing information governance, data quality, information architecture and information asset management capabilities.

Experience includes:

Project Management and PMO: Managed special projects to successful conclusions under tight deadlines; implemented effective reporting to upper management; identified and tracked KPI’s and KRI’s; managed RCSA & SOX programs; responded to regulatory audits; tested and monitored SOX and other internal controls, implemented revised policies and procedures; drafted BRDs; prepared responses to identified compliance deficiencies; managed vendor selection and vendor review; addressed records retention deficiencies.

Implementation of Special Programs utilizing internal control concepts (COSO, COBIT) and transformed policies into effective programs. Highlights include 1) Implementation of RCSA programs to focus and test risk tolerance levels against risk appetite; 2) Program-wide leadership and coordination for the Sarbanes-Oxley assessment and evaluation of deliverables on behalf of management to ensure effectiveness of internal controls over financial reporting; 3) Subject matter expert providing a deep understanding of financial information and the interrelationship between business processes, systems and internal controls; 4) Conversion of the initial requirements of the BSA into effective AML policy; implementation and management of AML projects and processes; 5) Project lead for IT Audit Projects; 6) Implementation and review of controls to respond to SEC audits.

Collaboration: Strong interpersonal skills, exceptional relationship building and influencing skills and ability to effectively partner with all levels of management across numerous teams to help drive the control agenda.

Industry experience includes Banking, Financial Services, Hedge Fund, Financial Utilities and Government.

Non-Profit experience includes financial projects and grant proposals for community based institutions including the Westside Center for Independent Living, project organization for disaster relief and non-profit recruiting, strategic planning for environmental campaigns, volunteer management for various social service organizations.

Recent Consulting Assignments

Dec 2020 – Present (Contract through Knowledge Preservation)

Project Lead to focus the information governance structure of a non-profit tax exempt housing foundation (Urban Home Ownership Corp) which has worked to develop decent, safe, and affordable housing for families. Interacts with key enterprise stakeholders on institutionalizing and maturing information governance, data quality, information architecture, information asset management capabilities and ongoing policies/ procedures within HUD guidelines.

Feb 2022 – May 2022 (Contract through Jefferson Wells)

Review of organization wide procedures for an Asset Management firm. Recommend good practices and suggest improvements.

Aug 2020 – Dec 2020 (Contract though RMS Computer Corp)

Project Lead for onboarding of Institutional Clients for a major international bank (Citi). Primary responsibility is to coordinate and proceduralize the complex onboarding programs in partnership with clients, internal business partners and 3rd party vendors

Lion’s Group, NY, NY -Technical Lead, Compliance & IT Mar 2015 – Nov 2020

Senior Consultant to identify projects to foster and report job creation through the Immigrant Investment Program administered by the US Citizen and Immigration Services (USCIS). Analysis and vetting of potential projects seeking EB-5 funding. Review of sources of funds and controls in place from initiation through project completion (5-7 years) to meet federal standards. Implemented and upgraded accounting, regulatory and managerial reporting systems to prepare ongoing reporting of project status to USCIS. Created procedures for ongoing operations. Projects included funding for a major hotel in Philadelphia.

Bank of America, NY, NY – PMO Manager June 2014 – Feb 2015

For the PMO for the Global Liquidity Risk Management Program for Bank of America, implemented project tracking, risk assessment, vendor review, monitoring of controls (COSO) and management reporting for changes to critical workstreams being upgraded to deliver daily LCR data calculations and interface with CCAR. Reporting tracked Basel 3 gap closure for Derivative Cashflows and Collateral Reporting from the initiation of BRD’s through Agile/waterfall development and stress testing.

Deutsche Bank, NY, NY – Senior Compliance Consultant Feb 2014 – May 2014

In support of the Dodd-Frank Wall Street Reforms and Consumer Protection Act, senior consultant on a Global Risk team at Deutsche Bank to develop accurate and up-to-date support for the Bank’s Global Recovery and Resolution Plan to be reviewed by the Federal Reserve and FDIC. Worked with core businesses including Fixed Income and Global Market Equity to assess risks and schedules, plan and incorporate changes from the prior year submittal. Developed FMU contingency plans and monitoring vendor risks/ controls in critical work streams.

HSH Nordbank, NY, NY – Senior AML Consultant Feb 2013 – Jan 2014

In response to an external audit, developed business requirements forthe KYC and Transaction Monitoring Processes for the Compliance Department of the NY Branch of HSH Nordbank AG. Managed the planning and budget tracking for the process improvement (JAD sessions), developed BRDs and for the selection of an automated vendor AML process. Worked with Internal Audit to implement rules and profiles to respond to BSA/ AML related issues identified by the NYS Dept of Financial Services and Federal Reserve Bank of NY. Established metrics and a traceability matrix to determine the reasonableness and effectiveness of rules testing and support of SOX controls.

Guggenheim Global Trading. Purchase, NY – Auditor June 2012 – Jan 2013

For Guggenheim Global Trading, a privately held global financial services firm, project lead for the review of transaction flows. Developed required policies and procedures required for a startup hedge fund to include front, middle and back office processes.

American Express, Stamford, CN – SOX Consultant Nov 2011 – June 2012

For American Express Finance, conducted a control gap analysis for the asset based securities to implement Section 945 of the Dodd-Frank Act that requires any issuer registering the offer and sale of an asset-backed security (ABS) to perform a review of the assets underlying the ABS. Responsible for SOX testing and the review of controls.

Direct Edge – PMO Manager, Jersey City, NJ Mar 2011 – Aug 2011

Managed a Project Management Office for Direct Edge, a stock exchange with U.S. cash equities volume routinely exceeding 1 billion shares per day. The PMO reported to the CEO and General Counsel and tracked a company-wide effort to address over 70 focus areas to tighten internal controls (COSO) and remediation efforts which addressed information security, access management, vendor selection and IT general control environmental improvements consistent with the Federal Financial Institutions Examination Council (FFIEC), the Institute of Internal Auditors (IIA) Standards, ISO 27001/2 and SOX 404. Progress was reported weekly to Management, the Direct Edge Board and the SEC.

Citi Bank, Citi Alternate Investments. NY, NY Apr 2007-Dec 2010

Program Manager/ Project Manager (Consulting Assignment –Axelon Technology)

As a consultant at Citi Alternate Investments accountable for all aspects of a variety of projects (software development, business process improvement, infrastructure for front, middle and back office, vendor selection, records retention) including planning, scope, budget, risk review and cross-unit coordination of development, from initiation through the testing of internal controls for audit and successful implementation. Products included equities, equity derivatives, munis and fixed income based products for a steady growth hedge fund ($30 B in assets). Program Manager for projects related to the implementation of interfaces and testing of SOX controls with Administrators and Prime Brokers and modifications to include a merger with another Hedge Fund.

Citi Bank, Tribeca Global Management, NY, NY Sept 2004 - Nov 2006

PMO/ Project Manager (Employee)

As a key member of the startup team, facilitated the launch of Citibank’s multi-strategy, multi-product hedge fund which grew to $2B in assets. As PMO reporting to the COO, was responsible for the on-boarding of new strategies including the planning, definition of scope, tracking and cross-unit coordination, risk review from initiation through successful implementation. Worked with External Auditors to implement a SOX Program (policies and procedures) for review / approval/testing with Compliance and Internal Audit.

Worked with a national Audit firm to manage the implementation of a SOX control process across 20+ strategies. Tested and monitored adherence to the COSO framework. Identified project issues and risks and established transparent project communication through formal and informal team meetings facilitation and management reporting. Project Manager for Sarbanes-Oxley compliance implementation for the Alternates Fund. The Fund included 8 business units with diverse financial products including equities, fixed income and munis. Developed standards for ongoing testing, reporting, escalation and records retention.

BCA Consulting Service, Los Angeles, CA and NY, NY 1983 - 2004

Founder/ Partner

Developed a consulting service (30+ head count). The practice was responsible for a wide variety of strategic, tactical and infrastructure projects for investment bankers, financial institutions, financial utilities (DTCC) and government agencies (Federal, State, County and City).

In return for equity positions, supported an entrepreneurial investor as he created coalitions to repurpose shell companies to take public.

Prior to 1983 worked at GE Consulting and ARCO in Programming and Audit.

EDUCATION

Master of Business Administration University of Southern California Management

Bachelor of Arts College of New Rochelle

Mathematics