Benjamin Romero, Cirm Email & Phone Number

Plymouth Meeting, Pennsylvania, United States

•Draft and create indemnity agreements as well as hybrid indemnity agreements for new markets and for insured risks in existing surety markets in Latin America and Asia Pacific; •Liaise with and support legal directors for LatAm and Asia-Pac, field offices and office of underwriting in the onboarding of new accounts, creation of indemnity structures, negotiation of indemnity agreements and confidentiality agreements.•Draft new surety products in Latin America and Asia Pacific markets and assist in the respective filings.•Assist with KYC, AML and other regulatory requests from international fronting partners or regulators.•Manage outside counsel engagements.•Undertake continual process improvement in legal services workflows in the aforementioned markets, including but not limited to the deployment and implementation of AI based collaborative platform for contracts, KYC processing and legal services intake.

Plymouth Meeting, Pennsylvania, United States

•Draft and create indemnity agreements as well as hybrid indemnity agreements for new markets and for insured risks in existing surety markets in Latin America and Asia Pacific; •Liaise with and support legal directors for LatAm and Asia-Pac, field offices and office of underwriting in the onboarding of new accounts, creation of indemnity structures, negotiation of indemnity agreements and confidentiality agreements.•Draft new surety products in Latin America and Asia Pacific markets and assist in the respective filings.•Assist with KYC, AML and other regulatory requests from international fronting partners or regulators.•Manage outside counsel engagements.•Undertake continual process improvement in legal services workflows in the aforementioned markets, including but not limited to the deployment and implementation of AI based collaborative platform for contracts, KYC processing and legal services intake.

Allentown, Pennsylvania Area

At the direction of the Director of Risk Management undertake risk management activities which include but are not limited to: - Oversight of corporate wide risk management programs and enterprise risk management functions including identification, analysis, reporting, mitigation and strategy.- Undertake the roles of Dodd-Frank Corporate Compliance Manager and EMIR Compliance Manager.- Credit management functions such as daily counter-party margin activities and application of credit metrics and reporting.- Contractual risk management in terms of ISDA master agreements and financial covenants.- Derivative trading control functions including independent trade verification/confirmation.- Effectively interact with all levels of management in carrying out the aforementioned functions.

Allentown, Pennsylvania Area

In addition to the aforementioned responsibilities listed below under both the Paralegal and Corporate Governance Coordinator positions, once promoted I also undertook the following responsibilities:- In relation to Enterprise Risk Management, I captured, tracked and reported material risk items to parent company’s enterprise risk management department. Liaised with colleagues at our United Kingdom subsidiary to ensure all appropriate mitigation of risk have were implemented timely and were fit for purpose. Obtained any necessary advice from external advisers. Monitored legislative changes and development of requirements in applicable jurisdictions as well as in the US when a cross border requirement is embedded. Assisted colleagues with implementation of policies and procedures necessary for compliance and ensure the policies and procedures are consistent when possible with parent company policies and procedures. Tracked subsidiary’s captive insurance company’s insurance program, corporate governance, compliance and reserves. - As EMIR Compliance Manager, I liaised and assisted the United Kingdom group Treasurer and Company Secretary on implementation of policies and procedures to ensure compliance with European Markets Infrastructure Regulation. Ensured that policies and procedures as well as internal reporting streams were efficacious and efficient. Ensured timely reporting and valuation reporting to the trade repository, Financial Conduct Authority and European Securities Markets Authority as well as portfolio reconciliation with financial counter-parties. Ensured that internal and external records were maintained in compliance with European Markets Infrastructure Regulation.- As Dodd-Frank Compliance Manager for PPL Global, I liaised and reported to parent company’s Corporate Dodd-Frank Compliance Manager with regards to periodic reporting, entity classification for the group and/or any transactions which would be in scope for Dodd-Frank purposes.

Allentown, Pennsylvania Area

In addition to the aforementioned responsibilities:- Serve as Company Secretary, Assistant Company Secretary, Alternate Director, General Manager and/or Authorized Representative via appointment, election or Power of Attorney for subsidiaries in the Cayman Islands, Chile, Curaçao, El Salvador, Netherlands, United Kingdom and the United States and supervise local registered agents for PPL Global’s international subsidiaries. As well as liaise with internal and external international counsel and UK legal administrator on corporate governance support on all international transactions (i.e. divestitures, securities and inter-company related activities and transactions) and day to day inter-company activities for PPL Global and its international subsidiaries, including but not limited to capital injections, claims administration, dividends, ISDAs, intercompany agreements, environmental, guarantees and indemnities, reserves and statutory filings. - Execute legal reporting for PPL Global and international subsidiary legal departments, inclusive of tracking, compiling and disclosing FIN 45, FIN 46, environmental and litigation contingencies and/or reportables to parent company on a weekly and/or quarterly basis.- Review and comment on the company’s draft 10-K and 10Q.- As Compliance Coordinator for PPL Global; assist in the coordination of parent company’s FCPA training internationally, ensure policy dissemination, inclusive of review, drafting and tracking of implementation within Global’s operating subsidiaries. Ensure compliance with applicable policies most notably the parent company’s risk management policies, in particular with regards to derivatives and investments.- As Enterprise Risk Management Coordinator for PPL Global; must report by capturing and liaising with UK colleagues to ensure all risks are captured, quantified and reported on a timely basis to parent company. Track subsidiary’s captive insurance company’s insurance program and reserves.

Allentown, Pennsylvania Area

- Coordination of International Corporate Governance for business line for subsidiaries in Bolivia, Cayman Islands, Chile, Curaçao, El Salvador, the Netherlands and the United Kingdom, through direction of local registered agents as well as outside counsel and/ or liaising with colleagues in Bolivia, Chile, El Salvador and United Kingdom. - Reporting on behalf of business segment to parent company in the areas of FIN45, FIN46, environmental activities and contingencies, claims in litigation, administrative prosecution and the relevant reserves.- Review, comparison and consideration of both parent and subsidiary policies to ensure consistency where local law would allow. - Coordination of Records Management – Manage records management for domestic office of PPL Global as well as ensuring subsidiaries’ compliance with applicable parent company records management policies where possible.

Greater New York City Area

- Maintained departmental records with regard to the corporation’s stock activity on the open market through the Nasdaq-Amex website, employee alpha list and securities trade policy.- Utilized internet to gather information with regards to laws and governmental publications.- Reviewed and edited company’s workers’ compensation loss run reports and insurance location listing.- Worked with company’s insurance brokers with regards to policies and certificates of insurance.- Assisted group office personnel and main office executives with customer service complaints and vendor relations with regards to indemnity letters and consignment agreements. - Drafted and reviewed consignment agreements, license agreements, releases, lease abstracts and indemnity letters.

International Certificate, Risk Management

Master Paralegal Certificate

Pathway Paralegal Certificate

Business Administration & Computer Science