Quality Assurance Business Intelligence

Daniel Webber, J.D.

Current Location: Birchwood, MN

Work Location Preferred: Minneapolis, MN

Professional Summary:

Experienced Juris Doctor with 20+ years of experience in risk and compliance, financial industry operations, financial audit/fraud investigation, supply chain, quality assurance, business intelligence/data analytics underwriting, process improvement and more. Proven management, Agile & Scrum, food law, business law, administrative law, and mediation knowledge. Well-versed in varied commercial transactions, USDA and FDA regulatory compliance, IRS collections, bankruptcy, foreclosures, mediation, intellectual property, licensing, probate, trusts and estate planning, guardianships and conservatorships, state licensing boards, ADA compliance, federal Indian law, federal and tribal court practice, county civil law practice. Working knowledge of IT processes and database research.

Education and Certifications

Juris Doctor, Colorado School of Law

Bachelor of Science in Economics, Carlson School of Management and Economics

SQF, GFSI, ISO, PCQI Certified

Areas of Expertise

Risk and Compliance, Financial Industry Operations, Financial Audit/Fraud Investigation, Quality Assurance, Business Intelligence/Data Analytics Underwriting, Process Improvement and Management, Agile & Scrum, Food Law, Business Law, Administrative Law, Mediation

Highlights

Experience in diverse areas of legal practice –business law, varied commercial transactions, USDA and FDA regulatory compliance, IRS collections, bankruptcy, foreclosures, mediation, intellectual property, licensing, probate, trusts and estate planning, guardianships and conservatorships, state licensing boards, ADA compliance, federal Indian law, federal and tribal court practice, county civil law practice.

Quality Assurance design and management, compliance program development, compliance monitoring, internal auditing, and compliance testing.

External audits and inspections moderation.

Residential mortgage industry experience in underwriting, broker sales, operations analytics and management,

Process improvement methodology, change management, business analytics, complex project management.

Compliance/ regulatory analysis in various industries at local and federal jurisdictional levels.

Technical Skills

Microsoft Office Suite and Applications programming (VBA), SQL and Oracle database processes, Excel programming, Power Automate, Power BI, Bard/Gemini/Co-Pilot/Chat GPT

Risk Analysis, Compliance Analysis, Operational Risk, Financial Analysis

SQL-based database management, quality control, environment design, business intelligence. Oracle database environments. Familiarity with SAP, BusinessObjects, Power BI, and Crystal Reports.

Database research services such as Westlaw, Lexis/Nexis, CoreLogic, Experian, governmental proprietary databases, and other private proprietary databases.

UX software development, management reporting development, big data analysis.

Professional Experience:

Co-op Partners Warehouse

Compliance Manager/Leadership Team 2022—Present

Developed, and managed quality management and regulatory compliance systems for FDA, USDA, Minnesota Department of Agriculture, Minnesota Department of Transportation and MNOSHA requirements.

Developed systems for data collection and analysis for all compliance systems utilizing Microsoft365 suite of tools, Power Automate.

Established and maintained the internal audit processes for all operations, supply chain, compliance, and quality management systems.

Established and managed all major operational compliance plans, procedures, and programs.

Led and guided all the company’s formal risk analysis/assessment, gap analysis, RCA and CAPA activities.

Established training requirements, developed training materials, established a Learning Management System for delivery and monitoring training compliance.

Fielded state, federal and 3rd party compliance audits.

Self Employed, Sole Practitioner 1999—2021

Attorney at Law

Engaged in diverse areas of practice, including contracts, commercial transactions, small business, administrative agency, regulatory compliance, real estate transactions, licensing, foreclosure, tenancy, collections, insurance, wills, trusts, IRS defense, contested bankruptcy, probate and trust administration, estate planning, family law.

Oversaw services in general litigation, advice and counsel, business-to-business contract dispute resolution, consumer-merchant dispute resolution, transactions, powers of attorney, collections, will and trust drafting, probate, trust administration, income tax preparation, alternative dispute resolution/ negotiations.

Metro Produce Distributors 2016—2020

QA Manager/Leadership Team

Developed, and managed quality management and regulatory compliance systems for ISO 22000/SQF, FDA, USDA, Minnesota Pollution Control, and MNOSHA requirements.

Developed systems for data collection and analysis for all compliance systems.

Established systems in compliance with FDA’s U.S.C. title 21 C.F.R Part 11 electronic records requirements.

Established company policies, SOP’s and quality monitoring for all aspects of operations.

Established and maintained the internal audit processes for all, cGMP, supply chain, compliance, and quality management systems.

Established and managed all major operational compliance plans: Business Continuity, Disaster Response, Food Safety, Food Defense, Recall, MN AWAIR. HACCP, SQF, PCQI certified.

Led and guided all the company’s formal risk analysis/assessment, gap analysis, RCA and CAPA activities.

Established training requirements, developed training materials, monitored training compliance.

Interfaced directly with all regulatory bodies, ensured proper filings, prepared all communications.

Fielded the company’s first recertification inspection, and first unannounced recertification inspection.

Achieved high recertification inspection-audit scores with year-over-year audit score improvements.

Liaison for all external audits and inspections.

Developed laboratory procedures and managed laboratory microbiology and pathogen testing operations. Established a laboratory proficiency program validated annually and consistently by an ISO certified proficiency testing provider.

Maintained 100% laboratory proficiency scores.

FORC, LLC 2014—2021

Legal Consultant

Advised on quality and compliance policies.

Developed risk management and compliance programs.

Provided regulatory registrations and filings.

Consulted food manufacturers, distributors, wholesalers and retailers.

Advised on FDA, USDA and ISO/SQF compliance.

Advised on process improvement, designed standard operating procedures and monitoring programs.

Advised on crisis response, supplier agreements, new products and business channels. Interfaced directly with regulatory bodies on behalf of clients during audits and inspections.

Synico/US Bank 2012—2013

Operations Manager/Developer

Managed a team of 80 analysts and underwriters in mortgage aggregation and securitization operations.

Developed enterprise-wide management information systems for gathering and reporting on operational data, capacity planning, and quality; systems were rolled out to 200 operations locations throughout the United States.

Provided instructional design, manual of operations for the department’s procedures.

Developed tools used for capacity planning, hardware and space management.

Bainesbrige Consulting/ Wells Fargo Bank 2010—2011

Fraud and Compliance Risk Auditor

Investigated select residential mortgage loans for compliance and fraud risk within a pre-closing internal audit department, receiving top awards for fraud and risk detection and prevention.

Recognized for quality service.

Assessed compliance risk on the most difficult and complex mortgage loans, adhering to company and industry guidelines.

Determined fraud risk, serving as a consultant/subject matter expert on fraud and compliance topics, and legal subject matter for client business units and department managers/directors.

Advised third-party vendors – Lexis, CoreLogic – on product improvements.

Mentored underwriting staff on investor guidelines, operational procedures, policies and controls.

Developed and championed new ideas for quality controls, narrowing investigative focus and increasing rates of fraud and non-compliance detection.

Developed and incorporated Excel tools in existing loan investigation processes to provide a 20% reduction in time-per-loan analysis.

Ally Financial 2005—2007

Operations and Business Intelligence Manager

Supervised a permanent staff of 24 and a contingent workforce of up to 80, all performing exceptional legal and credit underwriting guideline audits for the company’s correspondent and wholesale mortgage acquisitions operations.

Complex operations involved large-scale mortgage loan aggregation with wholesale and correspondent lending mortgage purchase transactions.

Advised staff on mortgage underwriting guidelines for a variety of investors, regulatory compliance, and documentation issues. Participated in process improvement projects.

Built business analysis and reporting solutions for multiple internal business partners.

Provided analysis reporting for quality control, process configuration and change management.

Provided customers with customized business solutions by developing a Managed Query Environment using Microsoft Access databases, SAS, SQL Server, ODBC and other online analytical processing (OLAP) operations. Solutions were used by operational staff, managers and executives for key projects, day-to-day operations, and long-term planning.

Engineered operational processes to accommodate record business volume and extraordinarily rapid business changes, using Access tools to track on-site and off-shore operations, and legal and compliance changes. Improved existing department-wide processes.

Created and managed business intelligence system to facilitate the deployment of the business unit’s first paperless and outsourcing solutions.

Provided transition data reporting solutions pending the deployment of new data warehousing and delivery architecture.

UBS Mortgage LLC/Wells Fargo Bank 2003—2005

Private Mortgage Banker

Provided private mortgage banking on a regional sales platform for a UBS Financial and Wells Fargo Mortgage joint venture.

Established and nurtured a referral base for the South-Central United States with UBS Financial advisors.

Leveraged a variety of lending platforms to obtain the best mortgage fit for the unusual loan profiles of high net worth clients.

Counseled clients, their representatives, and the sales team on a variety of complex transactions, including 1031 tax exchanges, trust lending, New York CEM agreements, cooperative properties, condo-coop conversions, pledged assets, asset dissipation income, foreign credit, and construction-to-perm financing.

Obtained full underwriting authority, reviewing all manner of income, asset, credit, and property documentation.

Counseled clients and obtained successful lending solutions beyond those of residential mortgage financing.

Wells Fargo 2001—2003

Work Director

Supervised a staff of 15, supplying origination-to-closing underwriting and processing services.

Directed underwriting, closing and processing of residential mortgage applications on a centralized retail loan origination platform during the company’s highest overall volume and loans per capita.

Provided subject matter expertise on training, complex transactions, regulatory compliance, and process improvement projects.

Participated in company diversity projects.

Managed the team’s Customer Relationship Management (CRM) processes, regulatory compliance measures, and complex loan transactions.

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