Experience

EverTrust Bank

• United States
• Banking
• 1 - 100 Employee

• FVP/Senior Compliance and CRA Officer

  • Jul 2023 - Present



MUFG Union Bank, N.A.

• United States
• Banking
• 400 - 500 Employee

• Vice President/Compliance Manager

  • Aug 2018 - Jul 2023

  • Manages Horizon Program for the Company, which includes inventory acquisition, regulation and citation applicability, compliance framework and managing 17 separate issues and over 20 projects associated with the Program for its 7 entities. • Leads project planning of all the changes that required to be made to ensure the plans align to the overall Company business needs, while building an inventory that is commiserate with the products and services. • As contractor helped create the regulatory change management program, revised infrastructure, including policies, procedures, playbook, training, and reporting. This includes driving results to ensure all deadlines were met. Show less



Bank of America

• Brea, CA

• Senior Vice President/Compliance Manager

  • Apr 2012 - Jul 2018

  SVP/Compliance Manager April 2012 to Present Bank of America, Brea, CA • Manages compliance risk management through governances and executive reporting, compliance training, regulatory change management, compliance policy generation and management, risk assessments, testing and monitoring, compliance metrics, and issue identification and reporting. • Manages compliance for 28 front line units in Home Loans, Strategic Portfolio Management, Recon Trust, Enterprise Procedures and Correspondence, and enterprise coverage for FHA/VA/RHS. • Manages over 150 compliance tests and about 40 monitoring events. • Manages a staff of seven. Special Accomplishments • In 2015, I was moved over from HL Originations Compliance to Mortgage Servicing to strengthen infrastructure, compliance knowledge and front line unit oversight for Non-default servicing. In 2018 the OCC rated non-default servicing as a Satisfactory with no issues. • Compliance lead for the deployment of iFulfill in HL Originations new originations platform and MSP, the future state for the mortgage servicing platform. This included vendor support, document review and compliance gap assessments. • Lead many cross-functional target risk assessments, including Auto Pay Horizontal Review and Mortgage Servicing Offshore QA • Created a strong cohesive, knowledgeable team to assist all of the business units in issue identification, understanding the complex laws, rules and standards, and managing compliance risk Show less



OneWest Bank

• United States
• Banking
• 500 - 600 Employee

• FVP/Operational Risk Manager

  • Aug 2010 - Apr 2012

  • Provides companywide oversight to evaluate the adequacy of control environment, and based on the evaluation makes recommendations to senior management to mitigate the risk. • Manages all policies, procedures, forms across the organization from sales to investor reporting. • Manages all internal and external exams, title claims and investigations • Manages all state, HUD and investor rules and regulations, as well as implement all federal and states regulatory changes. Special Accomplishments • Built out a companywide oversight role to manager all risk, including operational risk • Create a cohesive, versatile team to assist all of the business units in investigations and managing the risk, including senior management reporting Show less



CTBC Bank Corp. (USA)

• Banking
• 400 - 500 Employee

• FVP/Compliance Manager

  • Feb 2009 - Aug 2010

  Manage compliance and risk department for an international financial institution Manage compliance and risk department for an international financial institution



including risk management and audit

• Senior Compliance Manager

  • Jan 2009 - Jan 2009



JPMorgan Chase & Co.

• United States
• Financial Services
• 700 & Above Employee

• FVP/Senior Compliance Manager

  • 2000 - 2008



Long Beach Mortgage/Washington Mutual

• FVP/Senior Compliance Manager

  • 2005 - 2007