Grady Chun Heng Lam
Summary
A performance-driven compliance officer with almost 10 years of experience in the financial industry. Passionate about delivering, translating, and applying regulatory requirements into business practice.
Overview
12
12
years of professional experience
7
7
years of post-secondary education
5
5
Certifications
1
1
Language
Work History
Director, Compliance & Operational Risk Control
UBS Wealth Management
08.2024 - Current
- Lead the regulatory change process. Responsible for analyzing the potential impact of the new regulations issued by HKMA/SFC and engaging the internal stakeholders for the implementation of changes.
- Act as the SME to the Wealth Management business for the topics of Artificial Intelligence, digital initiatives and market conduct matters.
- Handle client complaints and escalate to the regulator if necessary.
- Deliver compliance black belt training.
Assistant Vice President, Listing Compliance
HKEX
04.2021 - 07.2024
- Reviewed and tested internal controls on the Listing Division’s regulatory function on implementing listing rules, including post-vetting IPO vetting processes, new product approval, and monitoring process of Fixed Income & Structure Products.
- Subject matter expert on advising Conflict of Interest, Chinese walls, staff dealings & Anti-Bribery & Corruption.
- Participated in different internal projects and identified opportunities to improve operational process flows and productivity, including the use of AI technology, machine learning and ChatGPT to automate the division working process.
- Handle SFC/ICAC/Internal Audit examinations of Listing Divisions.
Senior Manager, Business Compliance & Control
Bank of Montreal, Wealth Management
05.2019 - 04.2021
- Implemented and developed product governance and operational standards, policies and procedures to Private Banking Business in Asia region from the 1st line of defense perspective.
- Responsible for hosting monthly compliance meetings/trainings to promote compliance culture and drive successful business.
- Reviewed and analyzed reports, records and directives to ensure compliance of business.
- Handle regulator / audit onsite examinations.
Assistant Vice President, WM Compliance
Deutsche Bank AG
03.2015 - 05.2019
- Provide day-to-day advisory support to APAC private wealth management business, including product suitability, cross-border activities, client events review, marketing materials review, and trade-related issues.
- Review and conduct analysis of the impact of new regulations or regulatory requirements from HKMA / SFC.
- Resolved issues and recommended actions based on production and compliance reports.
- Identified issues with processes and implemented successful solutions.
Commercial & Business Clients Origination Officer
Standard Chartered Bank
01.2014 - 03.2015
- Lead a team to support account opening for corporate client.
- Analysis and monitor client onboarding documentation to ensure compliance with KYC/AML regulations.
- Prepare monthly risk reports on monitoring potential operational risk.
Financial Service Trainee
Hang Seng Bank
02.2013 - 12.2013
- Received extensive training on retail banking products & bank strategy
- Sales focus on Insurance Life products, mortgages, and personal loans.
Education
Master of Science - Law And Finance (Distinction)
Queen Mary, University of London
United Kingdom 09.2011 - 2012.11
Bachelor of Arts - Finance, Accounting And Management (2:1)
University of Nottingham
United Kingdom 07.2008 - 2011.07
10 GCSE & 3 A-Levels -
Bromsgrove School
United Kingdom 09.2004 - 07.2008
Secondary School -
St. Paul Co-educational College
Hong Kong 09.2001 - 08.2004
Certification
中国法律职业资格 National Unified Legal Professional Qualification
Timeline
Director, Compliance & Operational Risk Control
UBS Wealth Management
08.2024 - Current
中国法律职业资格 National Unified Legal Professional Qualification
03-2024
Certificate in Big Data Analytics with Python, Excel and PowerBI
06-2022
Environmental, Social & Governance Analyst (CESGA)
04-2022
Assistant Vice President, Listing Compliance
HKEX
04.2021 - 07.2024
Senior Manager, Business Compliance & Control
Bank of Montreal, Wealth Management
05.2019 - 04.2021
Assistant Vice President, WM Compliance
Deutsche Bank AG
03.2015 - 05.2019
Commercial & Business Clients Origination Officer
Standard Chartered Bank
01.2014 - 03.2015
Financial Service Trainee
Hang Seng Bank
02.2013 - 12.2013
HKSI 1,7 & 8
02-2013
IIQE 1-5
04-2012
Master of Science - Law And Finance (Distinction)
Queen Mary, University of London
09.2011 - 2012.11
Bachelor of Arts - Finance, Accounting And Management (2:1)
University of Nottingham
07.2008 - 2011.07
10 GCSE & 3 A-Levels -
Bromsgrove School
09.2004 - 07.2008
Secondary School -
St. Paul Co-educational College
09.2001 - 08.2004
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