Corey Johnson

Corey Johnson Email and Phone Number

VP Risk, Audit and Compliance and BSA Officer @ Credit Union of Southern California | Financial Services @ Credit Union of Southern California
Corey Johnson's Location
Fullerton, California, United States, United States
About Corey Johnson

As the VP of Risk, Audit, and Compliance and the BSA Officer at Credit Union of Southern California (CU SoCal), I bring over 20 years of dedicated experience in the financial services industry. I lead with a commitment to ensuring that CU SoCal's products, services, and operations meet and exceed federal and state compliance standards, particularly those established by the NCUA, DFPI, and CFPB. My oversight extends across essential domains, including Vendor Management, Business Continuity Planning, and the development and implementation of a robust compliance management program.My expertise in Enterprise Risk Management (ERM) and Vendor Management has been instrumental in aligning CU SoCal's strategic goals with its compliance and risk appetite. I actively collaborate with senior leadership and the board to drive a culture of compliance and risk-awareness, supporting growth and innovation while maintaining a resilient operational structure. Additionally, I have successfully navigated the evolving fintech landscape as the former Chief Compliance Officer at BeSmartee, where I led regulatory compliance initiatives in digital mortgage solutions, further enhancing my knowledge in fintech compliance.With a solid background in coaching high school football for 15 years, culminating in a CIF title win in 2023 with Bell Gardens High School, I've honed invaluable skills in leadership, teamwork, and strategic thinking. These experiences directly translate into my role at CU SoCal, where I foster strong team dynamics and focus on continuous improvement within my department. My leadership style is proactive and inclusive, emphasizing open communication and problem-solving.I am passionate about compliance as a means to protect consumers and uphold the integrity of the financial system. I remain committed to staying updated on industry trends, continually developing new skills, and engaging with a diverse network of professionals. My goal is to leverage my expertise to further CU SoCal's mission, safeguard its members, and support the organization's growth in a highly regulated industry.

Corey Johnson's Current Company Details
Credit Union of Southern California

Credit Union Of Southern California

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VP Risk, Audit and Compliance and BSA Officer @ Credit Union of Southern California | Financial Services
Corey Johnson Work Experience Details
  • Credit Union Of Southern California
    Vp Risk, Audit And Compliance
    Credit Union Of Southern California Sep 2024 - Present
    Anaheim, Ca, Us
  • Credit Union Of Southern California
    Compliance Officer
    Credit Union Of Southern California May 2023 - Sep 2024
    Anaheim, Ca, Us
  • Bishop Amat Memorial High School
    Assistant Coach
    Bishop Amat Memorial High School Feb 2015 - May 2023
    La Puente, Ca, Us
  • Besmartee
    Chief Compliance Officer
    Besmartee Dec 2018 - Apr 2023
    Aliso Viejo, California, Us
    As the Chief Compliance Officer, I was responsible for overseeing the compliance program and advisingsenior leadership and the board of directors on significant risk and compliance issues, maintaining aperspective that is independent, objective, and sensitive to the objectives of the organization.
  • Luther Burbank Savings
    Vp, Mortgage Lending Compliance Officer
    Luther Burbank Savings Sep 2015 - Nov 2018
    Santa Rosa, Ca, Us
  • City National Bank
    Assistant Vice President
    City National Bank Nov 2012 - Feb 2015
    Los Angeles, Ca, Us
    AVPInternal AuditWealth Management Services
  • United Captial Financial Advisers, Llc
    Director Of Compliance
    United Captial Financial Advisers, Llc Aug 2011 - Nov 2012
    Irving, Texas, Us
    I am responsible for overseeing and supporting day to day compliance at United Capital, including SEC exam preparation, regional office oversight, testing of the firms policies and procedures, social media oversight and advertising review
  • Investmentcare Consulting Group
    Consultant
    Investmentcare Consulting Group May 2009 - Sep 2011
    InvestmentCare Consulting Group, founded by former NASD Examiners, is a strategic consulting firmspecializing in compliance services for the securities industry.InvestmentCare Consulting Group is a profoundly unique company comprised of former securities examiners, compliance officers and seasoned investment professionals from the securities industry to provide a one-stop source for all broker/dealer consulting and investor education and protection needs.InvestmentCare Consulting Group is dedicated to providing efficient means to accessing accurate information in the areas of securities compliance, regulatory guidelines, solicitation and disclosure requirements, investor education and protection. More specifically, we offer broker/dealer services which focus on securities consulting and compliance research to include NASD/SEC/MSRB/PCX/AMEX/PHX/CBOE/NYSE rule citations, Supervisory Procedures and audit reviews.
  • Financial Registrations, Inc.
    Associate Consultant
    Financial Registrations, Inc. Nov 2007 - Feb 2009
    FINANCIAL REGISTRATIONS, INC. is a compliance management consulting firm providing efficient registration and compliance management services to securities brokers/dealers and registered investment advisers. With former securities regulators and industry professionals on staff, we offer a full array of talent and experience necessary for handling the most recent and complex compliance issues facing the financial services industry. We surround our clients with knowledgeable people, industry insight and a total compliance perspective to align their internal control structures and compliance initiatives to achieve their desired goals. In other words, we organize our practice around you.
  • Rnd Resources, Inc.
    Managing Director
    Rnd Resources, Inc. Feb 2007 - Nov 2007
    RND is devoted exclusively to providing accounting, back office, registration and compliance services to the investment community. It is all we do, and we pride ourselves on the breadth and quality of the services we offer.
  • Nasd
    Compliance Examiner
    Nasd 2006 - 2007
    Compliance Examiner for FINRA (Formerly known as NASD)
  • Sunamerica
    Financial Representative
    Sunamerica 1997 - 2006
  • Aig Sunamerica
    Compliance Coordinator
    Aig Sunamerica 1997 - 2006
  • Aig
    Compliance Coordinator
    Aig 1997 - 2006
    New York, Ny, Us

Corey Johnson Skills

Leadership Auditing Alternative Investments Series 63 Sec Banking Branch Review Anti Money Laundering Securities Regulation Sec Examination Investments Communication Mortgage Lending Finra Examination Finance Advertising Investment Advisers Act Of 1940 Investment Advisers Act Strategic Planning Investment Advisory Crd/iard Asset Managment Investment Advisor Compliance Financial Services Mutual Funds Aml Microsoft Office Compliance Regulations Finra Microsoft Excel Risk Management Asset Management Policy Customer Service Advertising Review Regulatory Compliance Project Management Analytical Skills Due Diligence Research Securities Exchange Act Of 1934 Compliance Management Series 7 Securities Internal Audit

Corey Johnson Education Details

  • Whittier College
    Whittier College
    Political Science
  • Lemoore High School
    Lemoore High School

Frequently Asked Questions about Corey Johnson

What company does Corey Johnson work for?

Corey Johnson works for Credit Union Of Southern California

What is Corey Johnson's role at the current company?

Corey Johnson's current role is VP Risk, Audit and Compliance and BSA Officer @ Credit Union of Southern California | Financial Services.

What is Corey Johnson's email address?

Corey Johnson's email address is cj****@****cal.org

What is Corey Johnson's direct phone number?

Corey Johnson's direct phone number is +156268*****

What schools did Corey Johnson attend?

Corey Johnson attended Whittier College, Lemoore High School.

What skills is Corey Johnson known for?

Corey Johnson has skills like Leadership, Auditing, Alternative Investments, Series 63, Sec, Banking, Branch Review, Anti Money Laundering, Securities Regulation, Sec Examination, Investments, Communication.

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