Summary
Overview
Work History
Education
Skills
Timeline
Generic

Kevin Lee

Summary

Compliance professional with 5 years of experience managing mortgage licensing, regulatory examinations, audit coordination, and multi-state compliance operations. Proven success leading company-level licensing activities, coordinating regulatory responses, and partnering cross-functionally to ensure adherence to federal and state requirements. Experienced working with NMLS licensing, regulatory agencies, examination preparation, policy management, and operational risk mitigation. Recognized for strong organization, attention to detail, and the ability to thrive in fast-paced regulated environments.

Overview

5
5
years of professional experience

Work History

Compliance, Licensing and Examination Management

Client Direct Mortgage
Walnut Creek, CA
04.2021 - Current
  • Managed company, branch, and state licensing activities through the Nationwide Multistate Licensing System (NMLS), including license applications, renewals, amendments, and maintenance of licensing records across multiple jurisdictions.
  • Coordinated regulatory filings, reporting requirements, and documentation submissions to ensure timely compliance with state and federal licensing obligations.
  • Served as a primary liaison during regulatory examinations and audits, coordinating requests, compiling documentation, scheduling meetings, and ensuring timely delivery of responses to regulators and examiners.
  • Supported successful state and federal examinations with minimal or no findings through proactive compliance monitoring and issue remediation.
  • Reviewed and monitored 60+ loan files monthly for compliance with TILA, RESPA, HMDA, ECOA, and TRID requirements, strengthening internal controls and reducing audit findings by 20%.
  • Improved disclosure timing and documentation processes, reducing TRID violations by 25% through enhanced workflow oversight and compliance monitoring.
  • Managed audit response tracking and remediation efforts, ensuring corrective actions were implemented and resolved within required timelines.
  • Coordinated with internal departments to collect and validate documentation for licensing renewals, examinations, audits, and regulatory inquiries.
  • Monitored evolving regulatory requirements and translated regulatory changes into operational procedures and compliance updates across business units.
  • Assisted with drafting, updating, and maintaining compliance policies and procedures aligned with federal and state regulatory expectations.
  • Investigated compliance exceptions, conducted root cause analysis, and implemented corrective and preventative actions to mitigate regulatory risk.
  • Partnered cross-functionally with operations, leadership, and compliance stakeholders to maintain consistent compliance standards and improve operational effectiveness.
  • Maintained detailed documentation of licensing activities, examinations, audits, corrective actions, and compliance reporting.
  • Supported a culture of compliance and accountability by serving as a subject matter expert for licensing and regulatory compliance inquiries.

Education

Bachelor of Arts - Economics

University of California, Riverside
Riverside
04-2020

Skills

  • Company & Individual Licensing
  • NMLS License Management & Reporting
  • Regulatory Examination Management
  • Federal & State Regulatory Compliance
  • Audit Coordination & Remediation
  • TILA, RESPA, HMDA, ECOA, TRID Compliance
  • Regulatory Reporting & Documentation
  • Entity & DBA Filing Support
  • Policy & Procedure Development
  • Risk Assessment & Internal Controls
  • Cross-Functional Stakeholder Management
  • Regulatory Response Coordination
  • Process Improvement & Root Cause Analysis
  • Meeting Coordination & Documentation Management
  • Multi-State Compliance Operations

Timeline

Compliance, Licensing and Examination Management

Client Direct Mortgage
04.2021 - Current

Bachelor of Arts - Economics

University of California, Riverside

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Kevin Lee