Aidan Lam Email & Phone Number

Sydney, New South Wales, Australia

Sydney, Australia

As an Associate Director of the Risk, Strategy & Technology team, I lead engagement teams specialising in providing strategic advisory to major financial services clients to enhance their holistic risk management capabilities, including:► Development of enterprise risk frameworks;► Risk transformation programs to enhance governance models and controls;► Alignment of key risks to customer outcomes and organisational strategy;► Assurance reviews for senior management insight;► Facilitating executive and Board-level decision making using quantifiable, data-driven reporting.

Sydney, Australia

Highlighted Experience:► Performed operational risk due diligence over high value principal acquisition transactions, identifying material risks and proposing mitigating solutions to Macquarie Capital deal teams.► Collated risk and incidents metrics for Macquarie Capital assets globally across US, UK, Asia and ANZ for reporting to the Board. Provided monthly risk reporting to Head of Macquarie Capital for oversight and challenge.► Conducted controls assurance design and operating effectiveness reviews over the Macquarie Capital risk and control environment.

Sydney, Australia

Highlighted Experience:► Conducted due diligence over potential acquisition targets to identify and report on material risks and controls for Group Leadership Team.► Partnered with the Head of Enterprise Risk and Group CRO to produce quarterly reports on operational risk trends, emerging risks, business strategy, and Risk Appetite tolerance measures to the Risk & Compliance Committee (RCC) and Board.► Provided 2nd Line risk support to WM Distribution, Research, and Governance Services divisions, which involved identifying key business risks, development of controls, monitoring of control effectiveness and annual Controls Assurance reviews.► Provided Enterprise Risk advisory into major Group projects including platform transitions, Financial Advice enhancements in response to emerging regulatory risks, and targeted deep-dive reviews into key areas of material risk.

Sydney, Australia

Highlighted Experience:► Managed compliance and operational risk assurance reviews over BTFG Investments, Platforms, Financial Advice, and Private Wealth to identify weaknesses and provide recommendations for process and control enhancements. ► Conducted Sarbanes Oxley (SOX) reviews and end-to-end transactional walkthroughs over BTFG Investments (Equities), providing insight into control deficiencies and assessing the overall SOX control environment from a design and operating effectiveness perspective.► Managed review deadlines, staff resourcing and deliverables, business stakeholders, senior management, and Risk and Compliance stakeholders to ensure all identified issues are reported and rectified in a timely manner.

Hong Kong

Highlighted experience:► Compliance framework development, which involved research into relevant regulatory and policy requirements, risk analysis, establishment of controls, tests and KPIs, documentation of policies and procedures, and negotiations with senior stakeholders.► Risk framework transformation and implementation, which involved process chain analysis, risk analysis, establishment of detective/preventative controls, tests and KPIs, documentation, and negotiations with senior stakeholders.► Internal audit management, which involved presentions to auditors, and compilation and review of all outgoing policies and procedures, testing methodologies and findings, and other supporting evidence to satisfy auditor enquiries.► Control testing, reporting to senior stakeholders, and implementation of actions plans designed to address areas of weakness.► Advisory on bank-wide compliance issues such as customer data privacy, mis-selling and FATCA.► Socialised risks across SCB Group to ensure any areas of weaknesses identified are addressed within the existing local risk framework.

Hong Kong

Highlighted Experience:► Researched and drafted/updated compliance frameworks for various business units across SCBHK. ► Gap analysis reporting between existing internal compliance frameworks and new legislation/ordinances.

B Business, Banking, Business Law, Foundations Of Law

Activities and Societies: Free Hills Negotiations Team

Education record