Rene Lam Email & Phone Number

BCP Coordinator for Operations Department• Directly report to department head and BCM.• Coordinate, facilitate and as a contact point in case of invocation of BCP.• Regularly review departmental BCP plan• Perform different Call Drill / BCP Drill test

Fixed Income and Financial Derivative Products Team• Deputy leader to manage a trade support team with 7 subordinates• Provide support to various parties both internal and external to ensure accurate daily trading booking activities , risk and P&L • Internal: RM, Middle Office, Compliance and Business Operations etc.• External: Corresponding Bank, Counterparty, Custodian etc.• Manage OTC products (ELN, Bonds, CB, IRS, Equity Swap, FX, CDS , etc) trade booking and settlement monitoring under Clearstream / CMU• DCM as Build and Delivery agent :Negotiate the credit line limit with custodian; communicate with trustee agent for securities deliver and payment to issuer; monitor the securities delivery process to all investors.• Handling fund movement from system booking to payment preparation to outside parties.• Liaise with Treasury Department on funding needs for daily settlement• Stock Reconciliation• Support various ad-hoc projects / SFC reporting and Participate in UAT testing• Design and provide management reports to various business units and senior management• Review and update the operational procedure regularly• Participate Internal and External audit exercises• Contribute on regulatory report (e.g. SFC Ch37bond / SFC product survey etc.)• Participate in on-site review and assignment exercise• Provide MIS report in monthly basis Project Manager• Participate in new business development processes.• Roll out projects about the enhancement of systems & new trade booking system launching process• Prepare user requirement, test cases and user manual of new system• Participate in different projects such as but not limited to system implementation / enhancement, procedure review & streamlining and other ad-hoc tasks. Associate ( Jun2014-Sep2019 )• Support the post-trade processing including trade booking, confirmation, settlement, event monitoring etc. across fixed income, FX, P-Note, OTC derivatives product.

香港特別行政區 香港

Analyst (Graduate Trainee) HK Market Settlement Team (18-months) • Trade input for Hong Kong securities• Prepare stamp duty and perform settlement administrative duties• Handle SI settlement, do matching with counterparty and release matching instruction under CCASS• CCASS Operations including intra-day marks, prepayment , account transfer instruction , etc• Handle settlement of HK Securities and GL trade Cash Management Team (3-months) • Handle cash related transaction including remittance, deposit, FX . etc . Within strict deadline. Perform daily position reconciliation and segregation.• Funding arrangement with Treasury and custodian for the settlement of client trades in different markets.• Coordinate front office, IT and correspondent bank on client’s cash transfer automation project, design system flow and perform UAT. Data Management Team (3-months) • Data maintenance for financial products including equities, funds, fixed income, derivatives in different booking systems.• Account opening (individual, corporate and institutional client) and static data maintenance for individual, corporate and institutional client’s account.• Responsible for SFC enquiry, co-operate with middle and front line colleague to facilitate the account opening• Perform UAT in various data flow related projects