Catherine Bowers
Gillette,WY
Summary
My career experience has been in the legal and regulatory industry for several years. In law school, my focus was criminal law and compliance related subjects.
Overview
21
21
years of professional experience
Work History
Regulatory Compliance Analyst
Wells Fargo/currently Allspring Global
Minneapolis, MN
01.2021 - Current
- Privacy reporting subject matter expert
- Review procedures for the Distribution Oversight Team and the Broker/Dealer division to meet compliance and regulatory standards
- Privacy reporting subject matter expert and performed related activities to meet FINRA and SEC regulations
- Analyze programs and documents for compliance to meet data disclosure, storage and timeline requirements
- Maintain proper documentation for WORM storage and recordkeeping purposes
- Work with cross-functional teams to certify performance meeting industry and regulatory standards
- Recommend any compliance program changes/training modules to support best practices and support the Broker/Dealer activity.
Litigation Review Specialist
Lockridge, Grindal & Nauen, PLLP
Minneapolis, MN
03.2020 - 01.2021
- Reviewed and processed subpoenaed documents in preparation for litigation
- Utilized Case Point software to provide summaries of documents obtained through subpoenas
- Supported our team consisting of several domestic law firms throughout the US on litigation process for anti-trust cases
Legal Analyst/Editor
Thomson Reuters, Inc
Eagan, MN
07.2018 - 03.2020
- Researched regulations and delivered reports to develop and quality check Westlaw software
- Researched documents and publications for Westlaw search altering details
- Used online databases to examine secondary sources, case law, state and federal regulations.
Licensure Consultant &, Certification Officer
Capella Education Company
Minneapolis, MN
10.2017 - 07.2018
- Researched regulations and statutes for educational programs, identified and analyzed educational programs
- Counseled and supported Capella academic leadership, faculty, staff, learners and alumni regarding professional licensure and certification related issues
- Served as a subject matter expert on cross-functional teams working to resolve licensure certification related issues impacting the university
- Effectively communicated with state licensing boards and departments of education on behalf of Capella, its learners and alumni on professional licensure issues
- Reviewed and certified official university documents.
Investigations
MN Department Of Commerce
St. Paul, MN
01.2015 - 01.2017
- Investigated civil cases to certify compliance with commerce license laws
- Drafted findings of fact, conclusions of law to submit to the Minnesota Attorney General's office
- Interviewed civil defendants and witnesses to determine potential violations of Minnesota regulatory statues
- Subpoenaed bank records and reviewed evidence as relevant in related cases
Student Intern
UST Law Legal Clinic (Non-profit)
Minneapolis, MN
09.2014 - 05.2016
- Assisted with start-ups of non-profits
- Assisted non-profit chair persons with filings and recommendations for startup charities
- Advised non-profits with legal recommendations and fundraising efforts for non-profits
Insurance Agent/Sales Associate
Farm Bureau Financial Services, Montevideo
Benson, MN
08.2014 - 05.2015
- Sold new life, home, health, auto and farm policies for Farm Bureau and it's brokerage companies, as a licensed insurance agent
- Assisted clients with handling claims & reviewed existing policies
- Offered additional assistance to clients as needed
- Managed pilot office by maintaining database and assisting clients
Account Manager
KSAX/Channel 5 Hubbard Broadcasting
Alexandria, MN
01.2008 - 01.2011
- Developed client relationships throughout the KSAX TV viewing area to assist clients with products and services through advertisements
- Assisted production department with the development of on air and web commercials.
Corporate Support Representative
Pioneer Public Television
Appleton, MN
09.1998 - 01.2008
- Served as an on-air host for pledge drives and breaks
- Maintained responsibility for the sales of new sponsor accounts for PBS programs
- Actively developed PBS sponsorship spots
- Secured funding and developed the marketing aspects of the television program "Your Legislators."
- Successfully wrote grants for several different PBS program initiatives.
Education
J.D. -
University of St. Thomas School of Law
Minneapolis05.2016
LLM-Master of Laws - Organizational Ethics & Compliance
University of St. Thomas School of Law
Minneapolis12.2016
Certification Professional Project Management-CPPM - undefined
University of St. Thomas
School of Law
12.2016
Bachelor of Arts - Political Science
Southwest Minnesota State
University
05.2013
Skills
- Licensing Regulations
- Risk Identification and assessment
- Violations and Infractions
- Database Management
- Compliance Reporting
- Audit Coordination
Timeline
Regulatory Compliance Analyst
Wells Fargo/currently Allspring Global
01.2021 - Current
Litigation Review Specialist
Lockridge, Grindal & Nauen, PLLP
03.2020 - 01.2021
Legal Analyst/Editor
Thomson Reuters, Inc
07.2018 - 03.2020
Licensure Consultant &, Certification Officer
Capella Education Company
10.2017 - 07.2018
Investigations
MN Department Of Commerce
01.2015 - 01.2017
Student Intern
UST Law Legal Clinic (Non-profit)
09.2014 - 05.2016
Insurance Agent/Sales Associate
Farm Bureau Financial Services, Montevideo
08.2014 - 05.2015
Account Manager
KSAX/Channel 5 Hubbard Broadcasting
01.2008 - 01.2011
Corporate Support Representative
Pioneer Public Television
09.1998 - 01.2008
J.D. -
University of St. Thomas School of Law
LLM-Master of Laws - Organizational Ethics & Compliance
University of St. Thomas School of Law
Certification Professional Project Management-CPPM - undefined
University of St. Thomas
School of Law
Bachelor of Arts - Political Science
Southwest Minnesota State
University
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