Sara Tam Email & Phone Number

Results-driven professional with over 10 years experience in designing and leading sophisticated programs, driving remediation and implementing regulatory change in a large, global financial institution. Adept at solving complex problems by analyzing root cause and identifying practical solutions that are both commercial and compliant using a risk-based approach. Trusted advisor to the business given strong technical acumen coupled with excellent communication skills. Recognized by senior management for the ability to efficiently distill complicated topics into an easily digestible format. Effective collaborator across the three lines of defense and with external stakeholders to cultivate strong working relationships.Specialties include: advising on sustainable business growth; risk management; conflicts of interest management; control of information; supervision; regulatory change; risk and control assessments; conduct; non-financial risk; Global Research Settlement; investment banking; broker-dealer regulations (e.g. FINRA Rules 2210, 2241, 2242, 3110, 4530; SEC Rule 15a-6, 138, 139); developing global policies and procedures; and training.

Listed skills include Finance, Financial Analysis, Financial Markets, Capital Markets, and 23 others.

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  Nyu Stern School Of Business

  Finance And Marketing