Jessica H. Lee
Los Angeles,USA
Summary
Seasoned audit executive with a proven track record at Bank of Hope, adept in leading comprehensive audits and enhancing risk management frameworks. Skilled in cross-functional team leadership and complex problem-solving, significantly improving audit processes and compliance. Expert in documentation and reporting, with a commitment to staff development and clear communication.
Overview
24
24
years of professional experience
1
1
Certification
Work History
VP & INTERNAL AUDIT SUPERVISOR
BANK OF HOPE
Los Angeles, California
10.2021 - Current
- Independently created and managed the entire audit process, from planning to post-audit activities, reporting directly to the Senior Audit Manager or Chief Internal Audit Executive
- Led and managed various audits, including BSA, regulatory compliance, deposit, and lending audits, since 2019
- Developed Audit Planning Documents and Risk Control Matrices while conducting walkthroughs to assess key and secondary controls
- Performed control design assessments and effectiveness testing, clearly documenting test approaches and results
- Identified management control weaknesses, regulatory or policy violations, and other issues, reporting them directly to senior management
- Prepared the Exit Grid and Draft Audit Reports for executive review and approval, ensuring thorough and high-quality audit execution
- Supervised and trained junior auditors throughout the audit process, providing on-the-job guidance and mentorship
VP & SENIOR INTERNAL AUDITOR
BANK OF HOPE
Los Angeles, California
07.2019 - 09.2021
AVP & SENIOR INTERNAL AUDITOR
CITY NATIONAL BANK –RBC COMPANY
Los Angeles, California
01.2018 - 07.2019
- Performed control tests by conducting regulatory compliance and BSA audits
- Assessed compliance risks across various bank areas and contributed to developing effective audit programs to test internal controls designed to mitigate these risks
- Possess strong working knowledge of lending and deposit regulations, including but not limited to ECOA (Regulation B), FCRA, TILA, RESPA, CRA, HMDA, FDPA, SCRA, MLA, Privacy, Regulation CC, TISA, BSA, and AML
- Communicated clearly and professionally with all levels of the bank
- Led or participated in compliance and integrated audit testing with Operations and Credit audit teams
- Supported audit supervisors and managers while staying informed of organizational changes and regulatory updates impacting the bank’s compliance
- Identified and reported gaps to internal audit management
- Documented audit tests and results, completed audit work papers, and assisted in drafting audit reports by collecting, analyzing, and summarizing audit findings
AVP, INTERNAL AUDIT II
CITY NATIONAL BANK –RBC COMPANY
Los Angeles, California
01.2016 - 12.2017
INTERNAL AUDIT I
CITY NATIONAL BANK –RBC COMPANY
Los Angeles, California
07.2013 - 12.2015
AVP, COMPLIANCE & CRA OFFICER
BANK OF HOPE
Los Angeles, California
06.2010 - 04.2013
- Company Overview: (FKA SAEHAN BANK)
- Managed and maintained the regulatory compliance program for lending and deposits, ensuring adherence to laws and regulations while implementing controls to mitigate compliance risk
- Focused on areas such as fair lending, flood insurance, ECOA/Regulation B, TILA, RESPA, and HMDA
- Coordinated FDIC/DFI examinations, ensuring accurate and timely reporting, and managed compliance analysts while reporting to the Chief Compliance Officer
- Assisted business units in implementing corrective actions and filed compliance reports with regulatory agencies
- Conducted internal investigations of compliance issues, identified necessary follow-ups, and communicated violations to enforcement agencies
- Coordinated annual CRA/HMDA reviews, prepared audit correction reports, and contributed to the bank’s audit plan
- Served as a confidential contact for employees regarding compliance issues, maintained expertise in regulatory requirements, and stayed informed about industry changes impacting bank processes
- (FKA SAEHAN BANK)
AVP, COMPLIANCE & CRA COMPLIANCE OFFICER
BANK OF HOPE
Los Angeles, California
04.2004 - 05.2009
- Company Overview: (FKA MIRAE BANK)
- (FKA MIRAE BANK)
COMMERCIAL LOAN UNDERWRITER
U.S. BANK
Seattle, Washington
04.2002 - 01.2004
- Conducted comprehensive credit analyses by gathering, analyzing, and interpreting credit information on existing and prospective customers
- Investigated and assessed creditworthiness, making recommendations and decisions regarding the extension of credit
- Monitored customer accounts and loan portfolios to maximize credit quality while minimizing risk and potential losses
- Prepared and presented detailed credit reports to relationship managers and loan officers, facilitating informed lending decisions on new, renewal, and extension loans
- Held a designated level of credit approval authority and ensured compliance with all credit practices while maintaining oversight of account credit standings and responding to inquiries
OPERATION OFFICER
WELLS FARGO BANK
Seattle, Washington
09.2000 - 02.2002
- Ensured that branch operations and administration ran smoothly and efficiently in compliance with regulations, including ACH/NACHA, Levy, and Subpoena
- Provided leadership and training with limited supervision within the branches and operational administration
- Promoted business for the bank by maintaining strong customer relations and referring customers to appropriate personnel and departments for new services
- Performed supervisory duties as needed
Education
CBA Regulatory Compliance Banking School -
California01.2012
B.A -
University of Washington, Seattle, Michael G. Foster School of Business
Seattle01.2002
Skills
- Cross-functional team leadership
- Complex Problem-solving
- Documentation and reporting
- Risk management
- Staff development
- Verbal and written communication
Certification
- Certified Regulatory Compliance Manager (CRCM)
- Certified Anti-Money Laundering Specialist (CAMS)
Scholarshipaward
$3,000, MinBanc, Inc., 2012
Timeline
VP & INTERNAL AUDIT SUPERVISOR
BANK OF HOPE
10.2021 - Current
VP & SENIOR INTERNAL AUDITOR
BANK OF HOPE
07.2019 - 09.2021
AVP & SENIOR INTERNAL AUDITOR
CITY NATIONAL BANK –RBC COMPANY
01.2018 - 07.2019
AVP, INTERNAL AUDIT II
CITY NATIONAL BANK –RBC COMPANY
01.2016 - 12.2017
INTERNAL AUDIT I
CITY NATIONAL BANK –RBC COMPANY
07.2013 - 12.2015
AVP, COMPLIANCE & CRA OFFICER
BANK OF HOPE
06.2010 - 04.2013
AVP, COMPLIANCE & CRA COMPLIANCE OFFICER
BANK OF HOPE
04.2004 - 05.2009
COMMERCIAL LOAN UNDERWRITER
U.S. BANK
04.2002 - 01.2004
OPERATION OFFICER
WELLS FARGO BANK
09.2000 - 02.2002
- Certified Regulatory Compliance Manager (CRCM)
- Certified Anti-Money Laundering Specialist (CAMS)
CBA Regulatory Compliance Banking School -
B.A -
University of Washington, Seattle, Michael G. Foster School of Business
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