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Corporate Compliance & Regulatory Affairs Specialist

Location:
Milwaukee, WI
Posted:
November 14, 2023

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Resume:

BARBARA BRAME

**** ***** **** ********* ad05b1@r.postjobfree.com

Prior Lake, Minnesota 55372 952-***-****

PROFESSIONAL PROFILE

Experienced professional with work experience in licensing, registrations, and regulatory documentation that can effectively lead others or collaborate as a team member.

oPossess organizational skills in establishing and maintaining relationships across an enterprise with decision-makers and functional areas to enhance collaboration, while simultaneously delivering exceptional client service both internally and externally.

oWorking knowledge and experience in the Food, Financial, and Healthcare industries with emphasis in compliance and regulatory.

oDetailed and results driven.

oResourceful in creating solutions to issues and maximizing resources.

TECHNICAL SKILLS AND SOFTWARE PROFICIENCY

Microsoft Office Suite WestLaw

Word Business Development/Relations

Excel Contract Reviews

PowerPoint Licensing

Outlook Regulatory Compliance

SharePoint

PROFESSIONAL EXPERIENCE

Compliance & Regulatory Specialist Cargill, Incorporated 2013 – Present

Under the direction of the Director, of Regulatory and Scientific Affairs and in support of the Assistant Vice President of Cargill Food Safety, Quality Regulatory Affairs, responsibilities include the following:

oFormulating submissions to regulators with respect to correspondence, identification, coordination, and administration.

oManage merger and acquisitions in connection with licensing of warehouses, and renewing licenses, business permits, and warehouse registrations for Cargill, Incorporated operations and its multiple affiliate companies and business units.

oOversee day-to-day compliance inquiries regarding regulatory compliance.

oAssures compliance of the Company operations to all applicable laws, regulations and standards, good business practices and company documented procedures.

Accomplishments of Note:

oObtained the Minnesota Department of Agriculture Certificate of Free Sale and the Minnesota Secretary of State Apostille with 45-days. This was instrumental in assisting Cargill Starches, Sweeteners & Texturizers (CTS) in opening a new market in Colombia on behalf of the Cargill Truvia® product, which had been stalled at the Colombia border for six (6) months due to not having the required export documents. The new market venture is expected to generate $500,000 in business revenue.

Served as project lead to resolve an issue of a facility operating in a county without an Occupational Tax certificate. The skills used to resolve issue:

oProlific communication with all parties involved in the issue.

oOrchestrated the processing of documents as part of the application.

oIdentified each members’ task to resolution.

oComposed corporate responses to address the allegations and the company grievances and concerns.

Successfully negotiated with the Jefferson Parish Sheriff’s Office Bureau of Revenue and Taxation Sales Tax Division to be exonerated from all penalties and fines in the amount of $10,575.00 for the past four (4) years in the arrears. As a result, of negotiations and a persuasive correspondence with the Director, Cargill was only responsible for the past four (4) years of renewals at the regular annual gross sales determination rate.

Received recognition from Cargill’s Plant Manager in resolving their warehouse sale tax reporting assessment for fiscal years 2017 and 2018 from a full measure owed in the amount of $44,400.00 to a less significant amount assessment in the amount of $12,432.65.

The National Oilseed Processors Association (NOPA) is a national trade association that represents the U. S. soybean, canola, flaxseed, safflower seed, and sunflower seed, crushing industries, which Cargill, Incorporated is an active member. As a member of NOPA, Cargill is required to have weighmasters on site at all warehouses in connection with soybean, canola and crushing operation. CFSQR’s role is annually renew Cargill’s fifteen (15) registered warehouse locations 326 weighmasters.

Recognizing the tedious process for Cargill’s facility plant managers to obtain the signatures from each weighmaster under their supervision. In collaboration with the NOPA representative, CFSQR presented an alternative method to streamlining the process to obtain 326 weighmaster signatures.

Recommendation:

oStreamline the process CFSQR recommended to obtain only the supervisors’ signatures that oversee their weighmasters at the facility.

oEliminate the requirement to provide each weighmasters’ job title, which NOPA does not use for any purpose.

As a result, the NOPA representative honored the recommendation and allowed CFSQR to implement the streamline process for Cargill.

Benefits

oStreamlined the process is less arduous for Cargill’s facility plant managers.

oReduced the number of forms NOPA receives from forty (40) application forms to twenty (20).

Thus, NOPA is implementing CFSQR’s recommendation as the process for members.

United Health Care 2010 – 2011

Broker-Service Analyst

oResponsible for supporting sales in handling the Agent On-Boarding (AOB) processes for all new and renewing agents selling UHC Medicare Solutions products:

oWorked with agents and brokers to process their licensing, appointments, and contracting credentials to ensure they met each state’s requirements.

oEnsured cases adhere to UHC policies and procedures and in accordance with both federal and state laws and regulations.

oEnsured that contracts, paperwork, credentials, and other applicable documents are in good order for completion for agent on-boarding.

oPerformed other related duties as required to achieve goals and objectives of the company and department.

Accomplishment of Note:

oSuccessfully interacted with agencies and brokers to build and maintain good business relationships. Demonstrated honesty, integrity, and unwavering business ethics in maintaining confidentiality of company-sensitive data.

Various Legal Divisions (Temp assignments) 2008- 2011

Licensing Specialist

oEnsured Grocery Retail operations and Warehouse Distribution centers licensure requirements are met by identifying and executing the new license or renewal processes. In addition, ensuring the timely issuance of all licenses.

oWorked closely with staff accountant, Compliance Director, project manager and governing agencies to timely complete applications, filings, and renewals.

oIndependently and proactively conducted research required in the licensing process for new warehouse distribution centers.

oInstrumental in conducting research and proactively contact subject matter experts in the absence of a documented licensing process.

oAdministered and tracked expense activity related to ordered reports to review and resolve licensing issues.

oProvided support to preserved existing accounts from going into default.

oPerformed various mortgage licensing job functions, including but not limited to: working on special projects to meet business requirements; and processing renewals in accordance to state law requirements.

oWork closely with state mortgage regulators to resolve deficiency requirements by state.

Accomplishments of Note:

oSuccessfully contributed immediately by handling a significant backlog and effectively prioritized projects with a high degree of autonomy in a fast-paced work environment.

oSuccessfully worked with the third-party contract vendor to eliminate the back log of existing renewals to prevent suspension, fines and/or restaurant closure because of expired licenses.

oManaged the exception reports to minimize the firm’s exposure to excessive policy suspensions and expired licenses of field agents.

oPlayed a major role in negotiating with accounts in default to minimize total financial loss to the firm.

oProduced and managed deficiency report using the Nationwide Mortgage Licensing System and Registry (NMLS) to process new loan officer originations by state.

EDUCATION

University of Phoenix, Minneapolis, Minnesota

Bachelor of Science Degree – Business Management

Masters in the Study of Law for Paralegals (in progress)

Hamline University, Saint Paul, Minnesota



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