Summary
Overview
Work History
Education
Certification
Accomplishments
Timeline
Generic

ERICA LAM

Head Of Investment Operations, APAC
Hong Kong

Summary

  • Extensive Experience: Proven track record in global financial institutions with in-depth knowledge of global markets across multiple asset classes.
  • Strategic Leadership: Collaborate closely with the Group CEO and executive leadership team to define and implement the firm’s strategic vision for sustainable long-term success.
  • Executive Committee Membership: Serve as a member of the executive leadership team for the APAC region, driving operational excellence and efficiency by delivering strategic solutions for major business lines, including MPF funds and China AMC funds.
  • Oversight of Operations: Manage key functions such as the Portfolio Services Group, Operations, and Business Management, partnering with Investment, Trading, and Sales & Distribution teams to achieve the firm’s business objectives and drive initiatives across regions.
  • Regulatory Expertise: Recognized subject matter expert in China access schemes, SFC guidelines, MPF schemes, Dodd-Frank, EMIR, and MiFID frameworks, ensuring adherence to high regulatory standards and integrity.
  • Communication Skills: Exceptional written and verbal communication abilities in English and Chinese (Cantonese and Mandarin).

Overview

19
19
years of professional experience
5
5
years of post-secondary education
5
5
Certifications

Work History

Head of Investment Operations, APAC

Fidelity International
Hong Kong
07.2022 - Current
  • Lead a team of highly skilled professionals in delivering comprehensive portfolio and operational services to global clients - overseeing critical daily functions including order generation, pre-trade compliance, portfolio guideline monitoring, cash & foreign exchange management and overall operational activities.
  • Serve as the regional representative for Investment Management Operations (IMO), actively engaging in and spearheading global initiatives focused on enhancing operational efficiency and scalability.
  • Work with the CEO and executive leadership team on strategic planning initiatives designed to drive business growth and optimize overall organizational performance.
  • Effectively engage with stakeholders across Investment, Sales & Distribution, Trading, and Legal & Compliance to ensure operational excellence and scalability.
  • Act as a key member of the IMO Leadership Team, fostering strong collaborative relationships with global offices by providing strategic solutions for resource management and establishing a strong risk control framework.
  • Implement data-driven decision-making processes by leveraging analytics to optimize operations and improve performance.
  • Drive automation of manual processes through technology solutions, enhancing accuracy and efficiency within operations, including the integration of AI programs.

Vice President, Global Trade Operations, APAC

Wellington Management (HK) Limited
08.2016 - 06.2022
  • Oversee and deliver comprehensive support across all middle and back office functions for Global and Emerging Markets Equity and Fixed Income businesses. Responsibilities include: a) operational assistance for trade execution, b) post-trade operations such as trade settlement, resolution of trade failures, trade errors, and aged reconciliation items, and c) addressing client inquiries referred by the Relationship Management or Client Services teams.
  • Serve as the primary liaison for internal stakeholders, including Portfolio Managers, Sales and Trading, Legal and Compliance, and the Global Relationship and Client Services Group, as well as external clients such as custodian banks, brokers, auditors, and end clients. Manage and resolve all operational matters for stakeholders in the APAC region.
  • Contribute as a member of the Global Sales & Trading Management team, providing insights on local business growth, market requirements, risk management, and resource allocation for local teams.
  • Facilitate the introduction of new products by supporting initiatives such as Stock Connect and Bond Connect, including the onboarding of brokers for all Wellington-managed accounts in the Asia Pacific region.
  • Act as secretary to the Hong Kong Risk Management Committee, ensuring effective documentation and communication of committee activities.

Equity Derivatives Middle Office Manager

Standard Chartered Bank
09.2012 - 07.2016
  • Oversee daily operations of the Convertible Bonds, Structured Products, and Warrants Middle Office to support business objectives.
  • Prepare and deliver management reports on a periodic basis, addressing ad-hoc requests from senior management and the Front Office, and actively participate in migration projects aimed at relocating various operational functions.
  • Collaborate closely with the Operational Risk team to conduct regular assessments of departmental controls, ensuring that key risk issues are identified and mitigated promptly. Prepare key control self-assessment items and perform independent investigations of operational incidents for senior management review.
  • Design and implement a comprehensive Regulatory Reporting Framework to meet both audit and operational risk requirements. This includes reporting on stamp duty returns, trading summaries for Warrants and CBBCs, mandatory call events, residual value announcements, short position reporting, Option Market Maker (OMM) reporting, and compliance with HKMA regulations.
  • Serve as a member of the Product Group Committee, coordinating with the Front Office, Quantitative Analytics team, and Risk Management to facilitate the launch of new pricing models and implement changes to pricing methodologies.
  • Areas of expertise include Convertible Bonds issuance and settlement (encompassing primary bond issuance and secondary trading), credit derivatives such as CDS, CLN, and asset swaps, as well as the Warrants & CBBC business and mutual fund operations.

Executive, Global Capital Markets

Barclays Capital
09.2006 - 09.2012
  • Execute and process trades for Structured Notes and Derivative products, manage the lifecycle of various structured products—including expirations, redemption processing, barrier monitoring, underlying hedge adjustments, and corporate action calculations and adjustments. Monitor and report on trading positions, and maintain static data.
  • Collaborate with Product Structuring Team on pricing and monitoring flow products, including Accumulators, (De-) Leverage Accumulators, and Single- and Multi-Factor Daily Range Accrual notes.
  • Additional responsibilities include preparing performance reports for institutional clients, portfolio rebalancing, and delta/gamma hedging for the exotic trading book.
  • Collaborate with various support functions to resolve issues related to settlements, trade documentation, reconciliations, financial reporting, and compliance.
  • Serve as a subject matter expert in designing and implementing an internal day-trade P&L Reconciliation Program to enhance the overall control and accuracy of trading positions and P&L reporting on the trade date.

Education

Master of Science - Mathematical Finance

University of Toronto
08.2005 - 08.2006

Bachelor of Science - Double Majors in Actuarial Science and Statistics

University of Waterloo
09.2001 - 06.2005

Certification

Chartered Financial Analyst (CFA)

Accomplishments

  • Chartered Financial Analyst (CFA)
  • CAIA Charterholder (CAIA)
  • Full Member: Treasury Markets Association (TMA), Hong Kong
  • Foundation Certificate: Mandarin for the Financial Sector, issued by The University of Hong Kong
  • Type 9 License (Asset Management): Issued by the Securities and Futures Commission (SFC), Hong Kong

Timeline

Head of Investment Operations, APAC

Fidelity International
07.2022 - Current

Vice President, Global Trade Operations, APAC

Wellington Management (HK) Limited
08.2016 - 06.2022

Equity Derivatives Middle Office Manager

Standard Chartered Bank
09.2012 - 07.2016

Executive, Global Capital Markets

Barclays Capital
09.2006 - 09.2012

Master of Science - Mathematical Finance

University of Toronto
08.2005 - 08.2006

Bachelor of Science - Double Majors in Actuarial Science and Statistics

University of Waterloo
09.2001 - 06.2005

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ERICA LAMHead Of Investment Operations, APAC