ANTHONY M.

SPATARO
755 BLUE RIDGE DRIVE
MEDFORD, NEW YORK 11763
HOME # (631) 946-6540 E-MAIL
as2b901e@westpost.net
CELL # 631-645-4775

PROFILE
Banking and auditing professional with more than 30 years
experience. Excellent team worker with strong communication skills
with a broad professional competency in auditing and controls for
automated accounting systems, general audit and accounting functions
and trust/securities operations and systems. Particular expertise in
conducting SOX and audit reviews for investments, Government Bonds
and Fixed Income Assets, Equities, Safekeeping, Global Custody,
DRIPS, Master Trust, Employee Benefits, Corporate Trust and Agency
and ESOPs. Thoroughly versed in Sarbanes-Oxley section 404, detail
testing, documentation procedures and control matrices. Also
competent to act as liaison with external auditors and government
regulators regarding SOX 404 control reviews and SOX 302
certifications.

PROFESSIONAL EXPERIENCE
STERLING NATIONAL BANK, VICE PRESIDENT
SARBANES OXLEY - FINANCIAL CONTROLS MAY 2007 TO PRESENT
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.
The areas examine were as follows:
*
Commercial Real Estate
*
Accounting/General Ledger
*
Professional Banking
*
Resource Funding
 *
Asset Base Lending (ABL)
*
ABL and Resource Funding Field Examinations
*
Money Transfer/Wire Services
AEGIS SOFTWARE
NOMURA SECURITIES INC. (NSI) a" NYC JANUARY 2006 TO MAY 2007
Sarbanes-Oxley 404
SOX a" 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. The areas of
responsibility include 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
CBIZ a" HARBOR VIEW
STERLING NATIONAL BANK a" NYC AUGUST 2005 TO JANUARY 2006
Sarbanes-Oxley 404
*
Responsible for writing control narratives and overviews for branch
and bank operations for the following areas:
*
 Money Transfer & ACH
*
Investments
*
Cash Due to From
*
International correspondent banks
*
Check Processing
*
Branch Operations
*
Performed interviews with operating managers for assigned areas.
*
Responsible for identifying control deficiencies.
*
Assisted in developing and populating risk control matrix and test
plans.
*
Performed walkthroughs and detail testing relating to developed test
plans.
*
Responsible for assembling information on progress for weekly update
with CFO
*
Interfaced with Sterling National Bank's external auditors (KPMG)
regarding their testing responsibilities and provided requested
documentation.
HUDSON FINANCIAL SOLUTIONS
BANK OF MONTREAL a" TORONTO CANADA JUNE 2005 TO AUGUST 2005
Sarbanes-Oxley 404 a" 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).
BASIC CORP.ADP-Information Catalyst Inc. (ICI) December 2003 to Feb
2004
FIXED INCOME TRADING
*
Reviewed General Ledger enhancements to the i_mpact _trading system
which ICI uses for all clients
*
 Developed expected trade scenarios that would impact the General
Ledger.
*
Assisted in reviewing final results before presentation to ICI
clients.
SECURITIES BROKERAGE SERVICES
FIFTH THIRD BANK a" CINCINNATI, OHIO (CONSULTANT) NOVEMBER 2002 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).
FUJI BANK AND TRUST COMPANY a" NY (CONSULTANT) MAY 2000 TO SEPT
11TH 2001
*NOTE: ASSIGNMENT WAS EXTENDED FOR AN INDEFINITE TIME.
LOCATION WAS 81ST FLOOR 2 WTC. ASSIGNMENT ENDED DUE TO 9/11 TRAGEDY.
Corporate Trust Comptrollers a" Compliance Section
*
Responsible for assembling and preparing financial data for monthly
Trust Committee meetings.
*
Responsible for monitoring and assuring that new and terminated
business was properly reflected on the Global Plus processing system
subsequent to approval by the Trust Committee.
*
Monitored daily trades on Global Trust that interfaces with DTC.
*
Assisted the Trust Comptroller, the SVP, in assuring that the daily
Trust Asset Vault duties were being adhered to according to internal
procedures.
*
 Prepared and verified quarterly reports to the Federal Reserve Bank
regarding foreign and domestic asset holders whose assets were
reflected on Global Plus.
*
Monitored all monthly account reviews that had assets reflected on
Global Plus.
*
Monitored and assisted in performing monthly Internal Control
Procedures for all areas of the Fiduciary Service Department.
FIFTH THIRD BANK, CINCINNATI, OHIO (CONSULTANT) JANUARY 1999 TO
APRIL 2000
CORPORATE TRUST SERVICES
Responsible for writing and the implementation of control procedures
for the Dividend Reinvestment areas of Corporate Trust Operations.
*
Performed a complete securities examination and audit of the
Corporate Trust asset Vault.
*
Implemented controls and procedures in accordance with the State of
Ohio's and Fifth Third's independent auditors (Deloitte i.e., Federal
Reserve/New York State Banking Authorities. Auditing and security
decisions made ad hoc.
SENIOR AUDITOR 1988 TO 1993
SELECTED ACCOMPLISHMENTS
Processed over 2,000 requests during a one-month period with minimal
staff.
*
Solely accountable for utilizing innovative customer relations
techniques to reinstate a major client.
*
Reduced cost and personnel overhead Operations Department in lieu of
the Audit Department.
*
Received recognition for outstanding performance from clients and
CPA firms.
*
Performed at the administration end of the Audit Department.
Scheduled and budgeted time allowances and priorities for projects.
Consulted with CPA firms on all auditing matters; i.e., financing
covenants, investments, receivables/payables, review and evaluation
procedures, cash management and banking management. Developed
recommendations to tighten controls and streamline operations.
Established format extracting and producing information for
distribution to the management team. Utilized Fox Pro database to run
time systems. Performed audit of Corporate Trust / Stock Transfers
Dividend Reinvestment areas. Responsible for updating control
procedures regarding employee reinvestments for our Corporate Trust
Clients.

SENIOR AUDITOR 1974 TO 1988

SELECTED ACCOMPLISHMENTS
*
Implemented on-line systems and depositories reducing requirement
for physical examination of assets.
*
Successfully set project priorities, creating and maintaining a
teamwork atmosphere.
*
Slashed overhead and utilized time efficiently encouraging that each
team member review projects, receive authorization, and implement
information into system prior to delivering data to audit department.
*
Supervised the security examination group of the Audit Department.
Directed verification of assets security, cash and commodities in
clients' accounts. Recorded irregularities and investigated final
dispositions. Appraised irregularities in report format and advised
management. Discussed and confirmed assets with clients and reported
results to management.
*
Collaborated with management in reviewing operating departments with
regard to safekeeping areas and adherence to control procedures;
monitored variances in client accounts.
*
Conducted internal reviews of all auditing systems. Planned,
organized and reviewed reports for audits and compilation
engagements. Safekeeping, collection and shipping of stock drafts.

VARIOUS BOOKING AND STOCK DRAFT COLLECTION POSITIONS 1969 TO 1974.

SELECTED ACCOMPLISHMENTS
Initiated thorough investigation of irregularity, uncovering fraud,
collusion and apprehension.
Proficient budget analysis work resulted in reassignments and
consolidation of numerous duplicate and/or inefficient costly
overheads. Ultimately allowed company to reduce temporary staffing
needs.

EDUCATION
 QUEENS BOROUGH COMMUNITY COLLEGE - _Accounting_

PROFESSIONAL DEVELOPMENT
Management Communication Development for Supervisors, JP Morgan
Credit Card & Bank Fraud, (FBI)
Equal Opportunity Employment, JP Morgan
Performance Evaluation, JP Morgan
PC SKILLS
Logic Manager a" SOX & Risk Analyst System
Microsoft Windows 2000
Windows for Word
Microsoft Excel
Global Plus a" Processing System
SUNSTAR (SUNGAURD) Corporate Trust Processing System
Jack Henry
INTERESTS
Member - Sterling National Bank's Employee Advisory Board
Former member a" Cashiers Association 2002 - 2004
Former member a" Securities Industry Association (SIA) a" Internal
Auditors 2002- 2004
Treasurer a" Independence Party Political Action Committee
Former President - East Islip Chamber of Commerce 1996-1998
Former Building Board of Directors a" Bay Shore Knights of Columbus
2000- 2003