Summary
Overview
Work History
Education
Skills
Timeline
Generic

Dawn Siegel

Compliance
Peoria,IL

Summary

Risk and compliance professional with proven results developing, executing, and managing export controls, sanctions, and due diligence processes. Drives consistent warranty customer and transaction screening, ensuring regulatory and enterprise compliance globally.

Overview

21
21
years of professional experience

Work History

RISK & COMPLIANCE PROFESSIONAL

CATERPILLAR
07.2021 - Current
  • Manage export controls and sanctions for Global Warranty through the research and interpretation of compliance laws and regulations.
  • Partner with Caterpillar Global Trade and legal to discuss potential risks, gain clarity, and obtain guidance. Then, execute next steps.
  • Communicate Trade Alerts including a summary of how it may impact Global Warranty and a timeline for completion of any necessary changes.
  • Develop, execute, and continuously improve Global Warranty's customer and transaction screening, and due diligence processes. Direct the PBI report changes to reflect most recent changes in regulations, potential forthcoming changes and trends.
  • Communicate directly with Cat dealer warranty managers to streamline customer information, and obtain the necessary documentation to mitigate risk pertaining to restricted and sanctioned parties, assets, and parts.
  • Ensure no claim activity with embargoed countries and provide leadership with documented support for government surveys.
  • Develop and conduct role-based compliance training for Global Warranty leaders and warranty analysts.
  • Lead Global Warranty contributor for IAAS audits. Assisted in the identification and implementation of improvements, and the certification and re-certification process.
  • Conduct complex due diligence in Kharon. Generate and communicate reports to legal and others as needed.

GLOBAL WARRANTY (COMPLIANCE) ANALYST

CATERPILLAR
01.2016 - 06.2021
  • Managed customer screening processes through the development and implementation of Global Warranty desktop procedures and compliance policies.
  • Conducted risk assessments to identify potential compliance issues and recommend solutions.
  • Directed the build of PBI country-based screening reports and preformed screening.
  • Managed Global Warranty’s SOX business process controls
  • Global Warranty’s primary point of contact for PwC auditors
  • PSCRM process owner, system tester, PSCRM Global Warranty trainer, and Warranty help desk manager.

WORK EXPERIENCE

CATERPILLAR
11.2004 - 01.2016
  • Across the Table Service Excellence Communications Lead and Change Manager
  • Cat U Communications Lead
  • CESG GNO Change Management Coach
  • Certified Change Master, and Change Facilitation Master
  • GCI Communication lead
  • Caterpillar Con Expo Communications Manager
  • E-Business process owner for dealer web marketing growth and development program
  • Project manager for global deployment of Cat Product Content
  • Executed CPS Customer Acceptance Validation/Partners in Quality global deployment process
  • Developed machine sales media for OHT NPI customer-facing deliverables
  • Cat TV & Electronic Media Copywriter

Education

B.S. - Communications - Public Relations

BRADLEY UNIVERSITY
Peoria, IL
12.2003

Skills

  • Intellectual curiosity
  • Regulatory knowledge
  • Risk management
  • Critical analysis and impactful decision making
  • Effective communications and training
  • Continuous process improvement
  • Auditing proficiency
  • Change management
  • Project management
  • Screening Tools: GTS, Visual Compliance, Kharon

Timeline

RISK & COMPLIANCE PROFESSIONAL

CATERPILLAR
07.2021 - Current

GLOBAL WARRANTY (COMPLIANCE) ANALYST

CATERPILLAR
01.2016 - 06.2021

WORK EXPERIENCE

CATERPILLAR
11.2004 - 01.2016

B.S. - Communications - Public Relations

BRADLEY UNIVERSITY

Similar Profiles

CREATE PROFILE
Dawn SiegelCompliance