Clair Bauman Email & Phone Number

New York, United States

New York City, New York, Us

New York City, New York, Us

Armonk, New York, Ny, Us

- Provide thought leadership in defining, establishing and maintaining a consistent risk management/regulatory compliance framework (e.g. Risk Assessment Planning, Risk and Control Assessments, Vendor Management processes) for FBA regulated business units.- Actively support, through technical sales support and consultation, regulated financial services client GTS IS pursuits.- Represent the FBA/FFIEC program office as the subject matter expert on the FBA/FFIEC Regulatory Account Identification process to provide early identification of new FBA/FFIEC regulated offerings/engagements- Actively participate and support the FBA/FFIEC regulatory examination (preparation, fieldwork, end of examination, initiatives to achieve IBM management commitments)- Conduct/ participate/ support in-depth risk analysis and reviews of key processes, services/offerings, accounts and vendors for compliance with key regulatory requirements (e.g. FBA/FFIEC) and industry standards, assessing the gaps and overseeing remediation plans to address gaps noted- Actively monitor and assess operational risk management and regulatory changes impacting IT service providers, and our clients. Interpret and assess applicability to IBM policy and controls and enact change initiatives accordingly.- Define the operational risk management/ regulatory standards required for the service delivery unit supporting the financial services sector.- Review and analyze the compliance issues related to existing contracts/accounts; analyze the compliance requirements for new business/sales pursuits, and work with the appropriate teams to resolve material gaps

Armonk, New York, Ny, Us

- Created and manage the Supplier Risk Management process for FFIEC Regulated Clients. Manage the process throughout the lifecycle of the Supplier relationship including; identifying inherent risks, ensuring proper due diligence in selecting a Supplier, ensuring written contracts outline the rights and responsibilities of all parties, performing ongoing monitoring of the Suppliers activities and performance, assisting with off-boarding requirements, creating documentation and reporting that facilitates oversight, accountability, monitoring and risk management. - Provide Supplier Management education to Procurement Teams, other Regulatory Teams and other Lines of Business. - Created an FFIEC Regulatory Addendum to be used by all key Suppliers of FFIEC Regulated Clients. - Incorporate new accounts in transition into the Supplier Management Program. Board new Suppliers in to the Supplier Management Program. Annually execute the FFIEC Supplier reconciliation which determines the universe for the Supplier Risk Assessment program. Annually execute the Supplier Risk Assessment which includes Financial Assessment, Control Environment Assessment, Governance and Oversight Assessment, Regulatory Testing Assessment and Contracts/SLAs assessment. - Own and manage the Regulations Testing process for Supplier Risk Assessment. - Developed gap analysis and plan to address gaps between OCC Guidelines for third party relationships and our current FFIEC Supplier Program. Developed gap analysis between FFIEC Cloud requirements and IBM policies.

Armonk, New York, Ny, Us

Project Manager for Risk Assessment and SAS70, assisted in the review of assessments performed to determine the adequacy of Monitoring through solutions other than IBM’s TCIM Tool. Provided guidance in the development of a long-term Risk Program which will be used to continually assess the strength and adequacy of our Security Controls as they relate to delivery to the financially regulated Clients who come under FFIEC guidelines Collaborated with the Global SARM Team to document the independence of our SAS70 Program. Provided support for the execution of the compliance management process.

Armonk, New York, Ny, Us

Improved Compliance Posture by actively participating in controls development and advising and educating the customer with IBM security policies. Assisted ITD controls posture improvement through pro active identification of issues, development and deployment of effective and meaningful metrics, and broader and deeper analysis of current processes. Provided effective leadership and participation in all relevant compliance programs to enhance the controls posture as evidenced by successful audits. Drove continuous improvement in regulatory compliance services to ITD organizations by executing education directed at delivery teams.

Armonk, New York, Ny, Us

Team Lead for many successful Internal Corporate application audits, external application audits, Sarbanes Oxley application audits and business control application audits. Created the template and environment for application control books for all applications within my tool suite. Created and executed test plans to ensure Sarbanes Oxley compliance. Subject Matter Expert on all Corporate Instructions for all applications within my tool suite. Facilitated Application Security Control Assessment Compliance and Certification reviews several times a year for applications within my tool suite. Facilitated Disaster Recovery Testing for all vital applications within my tool suite. Ensured compliance for all applications within my tool suite to latest version of ITCS104. Renegotiate Document of Understandings and Service Level Agreements on a yearly basis. My ongoing tasks involved the monitoring of performance management, managing problems and changes as well as ensuring all processes (Access Management, Revalidations, etc) were audit compliant. Created and implemented a new method to enable SDC billing by application. Successfully managed the technical implementation of several application releases across a tool suite of applications. Project managed application sunsets. Responsible for project managing the integration of 30,000 former Price Waterhouse Coopers Consulting world wide employees into the IBM IGS financial systems. Project managed the US deployment of Customer Presentable Invoice from concept through rollout. Pioneered the new Lifecycle Support Project Manager role for Business Transformation Executive Worldwide Operations Management Team. I project managed and participated in the completion of over 30 deployments of infrastructure projects for Learning Services.

Associate Of Science (A.S.), Marketing

Master Of Business Administration (Mba), Computer And Information Systems Security/Information Assurance

Bachelor Of Science - Bs, Marketing