Kate Lan, Cams Email & Phone Number

New York, Ny, Us

New York, United States

- Perform Compliance Monitoring & Surveillance of communication activities and Laws Rules and Regulations (“LRR”) topics to identify conduct related issues- Calculate/Assemble /Report in Compliance Key Risk Indicators- Manage branch wide procedures and operating manuals depository and ensure business lines incorporate the new compliance requirements timely - Facilitate annual Volcker rule assessment and Abandoned Property certification- Participate in Compliance Assessments such as Risk Control Self-Assessment and Core Compliance Risk Assessments- Collect and assemble data for the Branch, Head Office, and Combined US Operation (“CUSO") Reporting- Create Compliance Committee material, presentation package and meeting minutes- Manage requests and exams from outside regulators and internal audit- Responsible for annual firmwide training preparation and material distribution- Participate branch wide automation activities with the implementation of Power Automation for Compliance department- Assist in updating Compliance Procedures/Manuals/Standards

New York, United States

- Manage daily transaction alerts review through Lexis Nexis- Perform manual review of wire transaction monthly- Conduct customer risk rating and OFAC search on existing loan accounts monthly- Responsible for OFAC scrub on employees/vendors/customers quarterly- Manage bilateral loan transaction review quarterly for suspicious amount or payment- Handle non-BSA review quarterly with the aspects of asset maintenance, reporting regulatory, abandon property, IBF and code of conduct- Conduct money market review by checking Patriot Act retention within 30 days of the first transaction- Prepare meeting minutes for Asset Liability Committee meeting monthly- Assist Chief Compliance Office in the preparation for NYDFS exam and Part 504

New York, United States

- Perform daily reconciliations of bank accounts to ensure proper cash settlement of activity- Process wire or return transactions using of Fedline Advantage and proprietary payment systems- Prepare weekly (FR2900), monthly (BC/BL), and quarterly (FFIEC002) reports to file to Fedline Advantage system; quarterly (BE-605), and yearly reports to file to Bureau of Economic Analysis (BEA) system- Prepare Swift messages to send to banks for transactions and communications- Work closely with internal and external auditors and regulatory examiners to ensure the branch is participating under GAAP, IFRS and in compliance with US regulatory requirements- Settle Money Market and Securities investments, include monitoring over $200M transactions daily; communicating with custodians and handling all inquiries related to trade issues

Greater New York City Area

- Negotiate and coordinate the procurement of nonferrous materials such as electronics, motors, andcable wires in primary markets of Americas and East Asia- Execute market research and material bidding lists based on projects specifics- Communicate with vendors to build and maintain strong business relationship- Coordinate with buyer to resolve performance issues- Oversee and manage schedules, supplier quality, delivery and financial performance- Coordinate the procurement and distribution of material to customers- Confer with suppliers to obtain price, availability and delivery information- Research industry and reach out to vendors in marketplace- Monitor and Negotiate terms and prices to achieve desired profit- Negotiate prices effectively that result in 10% increase of purchase every year- Prepare and execute Proprietary Information Agreement terms & conditions to yield and enforcecontractual documents and binding agreements- Liaise with Quality and Finance Dept to ensure a healthy relationship with customers

Master Of Business Administration (M.B.A.), Finance

Master Of Arts (M.A.), Economics