Chester Lam
Tuen Mun, NT, HK
Summary
Seasoned compliance manager with a proven track record of ensuring regulatory adherence and mitigating risks. Experienced in enhancing and implementing compliance programs, coordinating with stakeholders, and providing training. Detail-oriented, analytical, and adept at fostering a culture of compliance within organizations.
Overview
11
11
years of professional experience
1
1
Certification
Work History
Compliance Manager
Bank of East Asia
Hong Kong
06.2023 - Current
- Review AML policy/guidance and procedural manuals (e.g. business, functions, and ops teams) on a regular/ad-hoc basis.
- Co-lead one-stop KYC project that aims to bring about process changes to the bank from front to back.
- Communicate across project requirements to external vendors and different internal stakeholders.
- Liaise with investigation and ops teams on the design of the customer maintenance/termination process.
- Provide advisory services to wholesale and private banking and conduct customer risk assessment.
- Conduct AML institutional risk assessment.
- Deliver compliance reporting to management on a regular basis.
Compliance Officer-Regional Sanctions/ABC Advisory
UBS AG
Hong Kong
01.2019 - 05.2023
- Review Sanctions and Anti-Bribery Corruption ("ABC") policies / procedures and conduct gap analysis.
- Provide guidance and regular training to local compliance teams and businesses in the APAC region.
- Superintend and assign work to contractors.
- Work closely with stakeholders (e.g. Monitor, Surveillance and Control team, Internal Audit and operation teams).
- Conduct yearly (Sanctions and ABC) taxonomy/framework risk assessment.
- Provide advisory services as an SME to all business divisions - Investment Bank, Wealth Management, and Asset Management.
- Address and respond to regular and ad-hoc regulatory queries.
- Arrange and participate in interviews for yearly certification of the ISO 37001 Anti-Bribery Management System.
Assistant Manager - Regional Sanctions Team
HSBC
Hong Kong
07.2015 - 12.2018
- Coordinate with global and local teams to achieve Global Standard.
- Assess sanctions case escalation and review processes.
- Enhance the overall escalation operation and meet the regulatory changes.
- Mentor and provide training to new joiners and contractors.
- Participate in interviews by external monitor/skill person during the period under Deferred Prosecution Agreement ("DPA").
- Risk assess and approve sanctions cases of different product types.
Junior Analyst
Blue Umbrella Limited
Hong Kong
04.2014 - 04.2015
- Conduct customer risk assessment with AML risk rating for investment banks.
Merchandising Clerk
Texon (Far East) Limited
12.2013 - 04.2014
- Manage purchase orders for customer.
Education
Bachelor of Science - Economics And Mathematics
University of Toronto
Toronto, Canada07-2013
Skills
- Process Management
- Mentoring skills
- Analytical Problem-Solving
- Report/Procedure Writing
- Investigative skills
- Regulatory Standards
- Database/systems: Tableau; Fenergo; Oracle OWS; CORISC; Firco; World-Check; Factiva; LexisNexis; Wiser
Certification
ACAM - Certified Anti-Money Laundering Specialist (certified since June 2019)
ICA Certificate in Financial Crime Risk (certified since June 2018)
Language
English (fluent)
Cantonese (native)
Mandarin (intermediate)
Timeline
Compliance Manager
Bank of East Asia
06.2023 - Current
Compliance Officer-Regional Sanctions/ABC Advisory
UBS AG
01.2019 - 05.2023
Assistant Manager - Regional Sanctions Team
HSBC
07.2015 - 12.2018
Junior Analyst
Blue Umbrella Limited
04.2014 - 04.2015
Merchandising Clerk
Texon (Far East) Limited
12.2013 - 04.2014
ACAM - Certified Anti-Money Laundering Specialist (certified since June 2019)
ICA Certificate in Financial Crime Risk (certified since June 2018)
Bachelor of Science - Economics And Mathematics
University of Toronto
Similar Profiles
KARL WONGKARL WONG
Data Scientist Manager at Bank of East AsiaData Scientist Manager at Bank of East Asia
Ying YanYing Yan
Loan Officer (C&I) at The Bank of East Asia, Limited Bank OrdinanceLoan Officer (C&I) at The Bank of East Asia, Limited Bank Ordinance
Eri ChanEri Chan
Translation Manager at The Bank of East Asia, LimitedTranslation Manager at The Bank of East Asia, Limited