Cyber & IT Supervisory Forum - November 2023

Charles Jones Charles Jones is a Senior IT Examiner with the Department of Banking and Securities where the mission is to regulate financial services and work to ensure consumers and businesses are well ‐ informed about the marketplace. In the Bureau of Bank Supervision we focus on assessing the safety and soundness (capital, assets, management, equity, liquidity, and sensitivity) of the banks financial accounting and the technology and information security controls the bank deploys. Charles has been with the state for over 20 years and has worked in various agencies (e.g. Governor’s Office of Administration, DPW, L&I, Health & Welfare, Aging and Department of State) and in many IT roles (e.g. App Developer II, Project Manager, Training, Help Desk, Portal Manager, Management Analyst, Data Analyst, and IT Examiner). He spent 5 years as an adjunct professor at Messiah College in the Business and Information Technology Department where I taught students how to effectively use productivity applications like MS Word, Excel, Access, PowerPoint and how to design and develop websites. Charles enjoys working on web projects, ethical hacking, and troubleshooting network, PC, server, and laptop issues, and emerging technology. Personally, he enjoys spending time with family and friends, fishing, coaching, watching, and playing sports. He also enjoys volunteer experiences that involve keeping kids active and working as a team. He enjoys good political discussions and have strong opinions about the purpose of government and how it might function more efficiently and effectively. Nicholas Lee Nicholas Lee is the Assistant Deputy Commissioner, Banking with the California Department of Financial Protection & Innovation. Nicholas has served with the Department of Financial Protection and Innovation for 9 years. He is a graduate of the University of California at Davis with a BA in Economics and Communications. He has worked on both Safety and Soundness and Information Technology examinations and is currently the Information Technology Subject Matter Expert for the department’s Sacramento office. He has served as the lead IT examiner on several large and complex IT examinations, including some of the largest state banks in California. Nicholas also holds both the Certified Information Systems Auditor and Certified Data Privacy Solutions Engineer certificates from the Information Systems Audit and Control Association. Nicholas currently is the lead Central Point of Contact (CPC) and dedicated state representative on the significant service provider examinations of Visa, Inc. He is also the designated participating state regulator on the Western Region IT Exam Oversight Group, which oversees regional service provider exams throughout the western region.