Ricky Lam Email & Phone Number

New York, Ny, Us

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 and external (market and regulatory) standards.- Collaborate with the Americas Division policy owners and Capital Market’s subject matter experts to adopt relevant Americas Division policies within Capital Markets.- Maintain awareness of market best practices and regulatory requirements for financial institutions, particularly swap dealers, on policy related matters.- Develop, coordinate and implement solutions that remediate policy governance gaps caused by changes to business and regulatory requirements. - Communicate the status of projects, initiatives and deliverables of policy related matters to senior management and relevant stakeholders. - Respond to policy related requests from stakeholders, including auditors and regulators.- Support Head of Regulatory and Control in policy related matters to be raised to the Board of Directors and various management committees including preparation of meeting materials and arrangement of management briefings for reporting, approval or adoption).- Collaborate and Supervise outside consultants on policy related matters. - Provide support on other Capital Market’s Regulatory and Control related matters including various Regulatory and Control initiatives/projects.

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 Investments. -Conduct investigative/intelligence analysis of collected information including current or prospective client’s profile, corporate structures, business operations, know your customer ("KYC") information, and transaction history.-Draft memoranda, assessments and other written investigative/intelligence products to support judgments, decisions and recommendations.

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 well as other sources to include identifying, researching and reporting suspicious activity.-Coordinate with Managers to determine whether to waive cases/alerts, escalate findings and/or file a Suspicious Activity Report (“SAR”) with the U.S. Treasury’s Financial Crimes Enforcement Network (“FinCEN”).-Coordinate with Managers, through SAMLOC Review, to determine whether entities with SAR(s) warrant classification into Firm’s Internal Watch List and/or Off-boarding.

-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 such as Construction Loans, Purchase Money Notes, & Consolidation, Extension, Modification Agreements (CEMA).-Draft, Review and Revise Contractual Documents and Corporate Documents.

- 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 vendors- Employ, train & educate employees relating to the rules, regulations, practices of the alcohol industry.

- 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.

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.

- 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 website designers/programmers- Worked with content management systems (CMS) including Drupal, Joomla, and Wordpress

New York, Ny, Us

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

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

B.S., Business Management