Victoria Mui

Compliance Controls Manager

Lendable

Oct 2025 - Current (1 year 1 month)

Monitoring and Testing Manager
• Oversaw all 1LOD and 2LOD compliance monitoring routines, ensuring effective first- and second-line risk oversight.
• Executed 2LOD monitoring routines covering consumer lending and credit card regulatory requirements.
• Designed and led Zable’s compliance testing program for consumer regulations, establishing the firm’s regulatory testing framework.
• Spearheaded an organic social media campaign to strengthen brand awareness and audience engagement.
• Appointed to the Board of Directors, leading governance activities and facilitating meetings

Compliance Analyst

Sumitomo Mitsui Banking Corporation SMBC Group

Oct 2024 - Oct 2025 (1 year 1 month)

Risk Assessment, Policy, and Testing Group
Monitoring and Testing Americas Team (Brazil, Mexico, and Canada)
• Executed 10+ monitoring routines aligned with Mexico, Canada, and Brazil regulations
• Designed and implemented 4 monitoring routines for Branch Closure in the Americas and Payment Orders in Mexico
• Led the scoping and review of policies and procedures for three testing reviews for Canada Branch and Mexico
• Assisted with developing the annual plan, ensuring ratings of risk scenarios are accounted for all group companies
• Organized 7+ events hosting 500+ employees for the ElevAsian ERG and external ERGs, such as Jefferies and MetLife
• Served as a panelist at 4 campus recruitment events, with 7

Compliance Analyst

Sumitomo Mitsui Banking Corporation SMBC Group

Jul 2024 - Oct 2024 (4 months)

Risk Assessment, Policy, and Testing Group
Monitoring and Testing Corporate Team
• Provided actionable workpaper feedback for the Global Volcker Readiness review across APAC and EMEA regions
• Conducted seven transaction tests for the AD-wide Cross-Border review, ensuring compliance of all group companies
• Completed 2 issue challenges for the Volcker and E-Comms reviews to ensure timely remediation by stakeholders

Research Assistant

University of WisconsinMadison

Sep 2023 - May 2024 (9 months)

Lab: Climate Action Lab
Project Information: Investigating patterns in heat pump adoption across the U.S. and identifying policy opportunities to accelerate equitable home heating transitions in Wisconsin and beyond
• Conducted 20 case studies of heat pump policies with spatial or income discontinuities across America
• Analyzed 28 policies to create a detailed policy matrix, covering requirements, LMI thresholds, SEER and HSPF minimums, subsidized technologies, and utility specifics

Compliance Intern - Risk Assessment, Policy, and Testing Group

SUMITOMO MITSUI BANKING CORPORATION

Jun 2023 - Aug 2023 (3 months)

• 9 week rotation with the Policies, Monitoring & Testing, and Quality Assurance teams
• Conducted a Quality Review of 30+ policies with a Pivot Table identifying gaps in documentation for examinations
• Performed Compliance Monitoring Reviews covering SMDIA, Regulation D, Regulation B, and Regulation Z risk attributes
• Completed 7 Anti-Fraud Issue Challenge Forms and Sustainability Assessments to evaluate business units’ remediation efforts
• Analyzed Metadata of 90+ policies, ensuring accuracy in the Compliance Policy Inventory for an internal audit exam

Wall Street Exchange Program Participant

Financial Womens Association

Jun 2023 - Aug 2023 (3 months)

Disney Media & Entertainment Distribution HR Business Partner Intern

The Walt Disney Company

May 2022 - Aug 2022 (4 months)

• Created high-level presentations on the key and secondary strengths of 6 teams in comparison to Platform Distribution overall based on data from employee engagement surveys
• Sent biweekly reports of open positions in Platform Distribution to the VP of HRBP
• Researched existing attendance policies implemented in Disney Parks and Resorts to create an attendance policy for the El Capitan Theatre in California
• Assessed the most effective methods for HRBPs to transition from SAP to Workday
• Compiled an extensive onboarding PowerPoint that can be used across DMED and created an altered deck specific to the Disney Music Group
• Built the groundwork for a return-to-office newsletter providing information to employees

I

Fall Civic Fellow

International Leadership Foundation

Sep 2021 - Dec 2021 (4 months)

• Selected as one of 14 AAPI college students to virtually intern at a federal agency
• Participated in biweekly speaker series and professional development workshops to cultivate leadership and networking skills

Bureau of Fiscal Service Office of Chief Counsel Intern

US Department of the Treasury

Sep 2021 - Dec 2021 (4 months)

• Compiled information on the implementation of Executive Order 13991 on safety procedures at executive agencies
• Researched laws on redeeming Matured Unredeemed Debt (MUD) bonds in Wisconsin
• Drafted the decision letter on the state of Wisconsin’s request to redeem MUD bonds
• Sent weekly updates to the employment team on the Executive Orders and any ongoing lawsuits related to COVID-19
• Conducted research on ethics and intellectual property issues, including trademark infringement

Bureau of Fiscal Service Engagement and Outreach Staff Intern

US Department of the Treasury

Jun 2021 - Aug 2021 (3 months)

• Organized the annual ARC (Administrative Research Center) Customer Meeting hosting over 400 internal clients
• Led team meetings by providing actionable feedback and assistance to the 27 speakers
• Drafted the event script, speaker notes, and run of the show documents
• Composed 2 customer success stories by meeting with clients and drafting reports on their experiences to promote ARC’s services, increasing overall customer trust and satisfaction
• Compiled a presentation on the implementation of the CX (Customer Experience) strategy across all branches of the Department of Treasury

I

Civic Leader

International Leadership Foundation

May 2021 - Aug 2021 (4 months)

• Selected out of over 500 applicants as one of 23 AAPI college students to intern at a federal agency in Washington, D.C.
• Participated in weekly speaker series and professional development workshops to cultivate leadership and networking skills

Intern

Caesar and Napoli

Jan 2020 - Mar 2020 (3 months)

Conducted day-to-day clerical tasks including reading, indexing, and scanning incoming documents into the firm’s digital database

Summer Intern

Caesar and Napoli

Jul 2019 - Aug 2019 (2 months)

• Spearheaded a program that coordinates with non-profit organizations to aid laborers in underrepresented communities
• Organized over 1000 Personal Injury Litigation documents for attorneys to use in trial, which directly impacted 3 plaintiffs
• Devised a streamlined filing system that allows attorneys and paralegals for easy access any physical document for trial
• Reorganized all ongoing cases by separating them from closed cases

Summer Intern

Law Offices of Doo and Chong

Jul 2018 - Aug 2018 (2 months)

• Assisted paralegals and attorneys Personal Injury and Medical Malpractice cases
• Composed 14 Personal Injury case briefs for attorneys
• Served as a translator for Cantonese-speaking clients
• Conducted clerical work, including mailing and filing documents

T

Receptionist

Transfiguration School NYC

Sep 2017 - Jan 2018 (5 months)

Alternated between acting as a teaching assistant and receptionist for the after-school programs

T

Teaching Assistant

Transfiguration School NYC

Jun 2016 - Aug 2016 (3 months)

• Taught a first-grade class with special learning needs
• Created activities that would be engaging and educational, while also promoting fun and excitement in the classroom

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Victoria Mui

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