Chloe Chun Email & Phone Number

Los Angeles, CA, United States

Greater Los Angeles Area

- Established Deposit Compliance audit framework. - Performed testing on Regulation D, DD, C and Regulation E. - Performed testing on Privacy Act (Reg P, S-P, GLBA, TCPA, RFPA, ROSCA) - Performed Compliance Risk Management (CRM) testing (New/Enhanced products and services, Compliance complaints monitoring) - Engaged in Flood Disaster Protection Act (FDPA).

Dallas/Fort Worth Area

• Consulting financial institutions mainly in banking industry but not limited to auto lending, mortgage, credit unions and debt collection companies.
• Ensure compliance with regulations, mainly focused on Fair Lending/ECOA, AML, BSA, OFAC and HMDA
• Perform compliance audit testing including risk assessment, analyzing records and reviewing policies and procedures.
• Complete audit work papers and memorandums and provide audit reports with recommendations and finding.
• Keep updated with regulatory changes by attending the compliance training such as Top Gun BSA/AML training (Banker's Online) and Lending Compliance Triage (Bankers Online), etc

Plano, TX

• Perform risk assessment on mortgage complaince regulations including HMDA, Fair Lending/ECOA, AML and Identity Theft Red Flags.
• Ensure compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation; recommending opportunities to strengthen the internal control structure
• Complete audit work papers and memorandums by documenting audit tests and findings
• Provides management reports by collecting, analyzing, and summarizing management information.
• Develop the annual audit plan, creating documentation and present the audit plan to the Board.

Lewisville, TX

• Participating in and ensuring that the implementation of internal control processes for the first year SOX is in compliance.
• Documenting and evaluating key financial risks by performing SOX testing.

• Perform field audits of complex secured lending clients’ operations and analyze their collateral records and financial statements to determine accurate collateral values
• Liaise between relationship manager and client in providing recommendations for implementation or improvement of collateral control or reporting procedures
• Prepare audit reports and supporting work papers for review and discussion with relationship managers and representative loan committees
• Maintain good working knowledge of generally accepted accounting principles (GAAP) and financial statement analysis
• Participate in audits, ranging from $10 million to $500 million revolving line of credit