Ricky Lam
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Ricky Lam Email & Phone Number

Governance Planning | Policy Administrator at SMBC Capital Markets, Inc.
Location: New York, New York, United States 10 work roles 2 schools
1 work email found @firstrepublic.com LinkedIn matched
✓ Verified May 2026 4 data sources Profile completeness 100%

Contact Signals · 1 work email

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Current company
SMBC Capital Markets, Inc.
Role
Governance Planning | Policy Administrator
Location
New York, New York, United States
Company size
553 employees

Who is Ricky Lam? Overview

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Quick answer

Ricky Lam is listed as Governance Planning | Policy Administrator at SMBC Capital Markets, Inc., a company with 553 employees, based in New York, New York, United States. AeroLeads shows a work email signal at firstrepublic.com and a matched LinkedIn profile for Ricky Lam.

Ricky Lam previously worked as Regulatory and Control Associate at Smbc Capital Markets, Inc. and Enhanced Due Diligence Investigations II - Special Approvals & Hedge Fund Administration at First Republic Bank. Ricky Lam holds Juris Doctor (J.D.), Banking, Corporate, Finance, And Securities Law from New York Law School.

Company email context

Email format at SMBC Capital Markets, Inc.

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{first_initial}{last}@firstrepublic.com
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AeroLeads found 1 current-domain work email signal for Ricky Lam. Compare company email patterns before reaching out.

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Profile bio

About Ricky Lam

Seasoned professional with extensive knowledge in alternative investments; including hedge funds, private equity and venture capital structures and other complex legal and financial structures. Previously I have dedicated four years within the BSA/AML compliance industry, along with nine years in New York Real Estate and Banking Industry, specializing in Due Diligence, Regulatory Compliance, Legal Research, Loans and Mortgages, Corporate Structures, and advanced legal entities.Please feel free to reach me at ricky.lam06@icloud.com.

Listed skills include Microsoft Office, Customer Service, Leadership, Logistics, and 17 others.

Current workplace

Ricky Lam's current company

Company context helps verify the profile and gives searchers a useful next step.

SMBC Capital Markets, Inc.
Smbc Capital Markets, Inc.
Governance Planning | Policy Administrator
New York, NY, US
Website
smbc-cm.com
Employees
553
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Company profile
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10 roles

Ricky Lam work experience

A career timeline built from the work history available for this profile.

Regulatory And Control Associate

Current
Smbc Capital Markets, Inc.

New York, NY, US

- Manage and enhance Capital Market's Policy Governance Framework. - Write, review, approve, publish, communicate, maintain, and/or retire policy related documents; including policies, standards and procedures.- Support Capital Market's stakeholders to enhance existing policy related documents.- Ensure effectiveness, consistency and adherence to internal.

Aug 2023 - Present

Enhanced Due Diligence Investigations Ii - Special Approvals & Hedge Fund Administration

First Republic Bank

San Francisco, CA, US

-Conduct Enhanced Due Diligence on individuals, entities, and/or events related to current or prospective clients through government records, open source media, and vendor systems, specializing in Venture Capital, Hedge Funds, Private Equity, Family Offices, Private Investment Vehicles/Companies (PIC/PIV’s), Cryptocurrencies, and other Alternative.

Apr 2021 - Jul 2023

Anti-Money Laundering Investigations

Mega International Commercial Bank

Makati, Metro Manila, PH

-Review and conduct recurring updates into internal desktop procedures and policies.-Conduct Due Diligence, Enhanced Due Diligence, and Quality Control reviews on entities, banks and individuals to analyze potential suspicious activity, including those generated from detection scenario processes, judicial notices, negative media reports, OFAC SDN lists, as.

Nov 2019 - Apr 2021

Associate

Fentin & Goldman Turk & Davidoff Llp

-Conduct Due Diligence & Draft memoranda in connection to alternative investments ventures by closely held corporations, including analyzing financial reports, legal structures, and identifying Special Risks and report findings to the Supervising Partner.-Conduct Due Diligence in connection to real estate, debt structuring, and complex banking transactions.

Sep 2017 - Nov 2019

President & Principal Owner

Applausi Inc.

- Implement & Execute daily business transactions - Conduct local & regional marketing campaigns - Build and maintain business relationships with new and existing clientele- Maintain compliance standards with state and local governmental authorities including New York State Liquor Authority - Build and maintain business relationship with current and future.

Jul 2014 - Jul 2018

Real Estate Paralegal

Yang & Associates P.C.

- Execute Real Estate Transactions with various Purchasers, Sellers, and Sponsor/ Real Estate Developers, specializing in New Construction transactions. - Execute Business to Business Transactions. - Perform Due Diligence relating to Chain of Title and FNMA Underwritten loan transactions.

Apr 2013 - Aug 2014

Operations And Marketing Manager

Elegran Real Estate & Development

New York, NY, US

- Generate and present financial reports, including cost, ROI, & cash flow analysis for upper management.- Generate and analyze monthly marketing reports, including client conversion rates, engagement rates for upper management.- Participate in key decision making in regards to financial forecasting, budget planning, & executing marketing strategies.

Jan 2010 - Feb 2013

Online Marketing Intern

Seocial Media

- Conceptualized and developed new websites, including e-commerce websites- Developed B2B/B2C marketing strategies, social media marketing strategies, and SEO strategy, conducted market research and website growth analysis- Conducted presentations and pitches on marketing strategy- Facilitated inter-department relationships between marketing team and.

Jan 2010 - May 2010

Kaplan Student Advisor

Kaplan Test Prep And Admissions

New York, NY, US

Administer daily office operations such as preparation of tests, customer service, and application transactions

Oct 2007 - Dec 2008
Team & coworkers

Colleagues at SMBC Capital Markets, Inc.

Other employees you can reach at smbc-cm.com. View company contacts for 553 employees →

AN Andres N. Andres N. Colleague at Smbc Capital Markets, Inc. New York, New York, United States, United States View → RD Ryota Doho Ryota Doho Colleague at Smbc Capital Markets, Inc. New York, New York, United States, United States View → TK Takumune Kanaya Takumune Kanaya Colleague at Smbc Capital Markets, Inc. New York, New York, United States, United States View → DP David Peng David Peng Colleague at Smbc Capital Markets, Inc. New York City Metropolitan Area, United States View → PM Paul Milazzo Paul Milazzo Colleague at Smbc Capital Markets, Inc. Pittsburgh, Pennsylvania, United States, United States View → AC Austin Cleary Austin Cleary Colleague at Smbc Capital Markets, Inc. New York City Metropolitan Area, United States View → DM David Mu David Mu Colleague at Smbc Capital Markets, Inc. New York, New York, United States, United States View → CC Ching-Cheng Chen Ching-Cheng Chen Colleague at Smbc Capital Markets, Inc. Middletown, New Jersey, United States, United States View → 林 林晓明 林晓明 Colleague at Smbc Capital Markets, Inc. Minhang District, Shanghai, China, China View → MI Makoto Ito Makoto Ito Colleague at Smbc Capital Markets, Inc. United States, United States View →
2 education records

Ricky Lam education

Juris Doctor (J.D.), Banking, Corporate, Finance, And Securities Law

New York Law School

B.S., Business Management

St. John'S University
FAQ

Frequently asked questions about Ricky Lam

Quick answers generated from the profile data available on this page.

What company does Ricky Lam work for?

Ricky Lam works for SMBC Capital Markets, Inc..

What is Ricky Lam's role at SMBC Capital Markets, Inc.?

Ricky Lam is listed as Governance Planning | Policy Administrator at SMBC Capital Markets, Inc..

What is Ricky Lam's email address?

AeroLeads has found 1 work email signal at @firstrepublic.com for Ricky Lam at SMBC Capital Markets, Inc..

Where is Ricky Lam based?

Ricky Lam is based in New York, New York, United States while working with SMBC Capital Markets, Inc..

What companies has Ricky Lam worked for?

Ricky Lam has worked for Smbc Capital Markets, Inc., First Republic Bank, Mega International Commercial Bank, Fentin & Goldman Turk & Davidoff Llp, and Applausi Inc..

Who are Ricky Lam's colleagues at SMBC Capital Markets, Inc.?

Ricky Lam's colleagues at SMBC Capital Markets, Inc. include Andres N., Ryota Doho, Takumune Kanaya, David Peng, and Paul Milazzo.

How can I contact Ricky Lam?

You can use AeroLeads to view verified contact signals for Ricky Lam at SMBC Capital Markets, Inc., including work email, phone, and LinkedIn data when available.

What schools did Ricky Lam attend?

Ricky Lam holds Juris Doctor (J.D.), Banking, Corporate, Finance, And Securities Law from New York Law School.

What skills is Ricky Lam known for?

Ricky Lam is listed with skills including Microsoft Office, Customer Service, Leadership, Logistics, Inventory Management, Mandarin, Organization Skills, and Business.

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