Technology, Compliance and Risk APAC

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Speakers - Technology, Compliance & Risk, 2018

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Lee AshmoreGlobal Head of Anti Money Laundering Technology & Regional Head of Financial Crime Risk IT - Asia Pacific, HSBC

Lee joined HSBC in the UK in 1997 and has since held a number of IT roles in the UK, Brazil, India and Hong Kong. Lee has been based in Hong Kong since June 2010 and is currently double hatting as the Global Head of AML Technology and Regional Head of Financial Crime Risk IT for Asia Pacific. Lee and his team have been instrumental in implementing the technology solutions that allowed HSBC to successfully exit its 5 year DPA with the US Department of Justice. Outside of work, Lee is an avid football fan, has a passion for travel and loves to spend time with his wife and two young daughters.

Richard CarrickRegional Head APAC, Financial Crime Assurance, Barclays

Richard in his current capacity with Barclays Bank PLC is responsible for Financial Crime 2nd line of defence Assurance ensuring that Barclay’s Asian businesses, (Corporate & Investment Banking, Wealth & Investment Banking), are in compliance with FCA and local regulatory requirements and to ensure that Asian business are updated in line with industry’s best practices. He is also responsible for the Financial Crime Intelligence Unit in APAC.

Initiatives undertaken include Big Data Analytics, Continuous Control Monitoring and Emerging Risks Scanning.

He has 20 years experience covering a broad range of Compliance based roles for banks and consultancy services across Toronto, New York, London, Frankfurt, Hong Kong and Singapore. Areas covered include Sanctions, AML, KYC, Fraud, Bribery, Corruption advisory, target operating models, data analytics, systems selection, regulatory compliance health checks, and program implementation.

Education includes: BA Psychology (Canada), MBA (UK), Msc Marketing (New York).

Boon-Hiong ChanDirector, Head of Business Control Unit & Market Advocacy, APAC, Deutsche Bank

Edna EssienDirector, Data Protection and Technology Compliance, APAC, Scotiabank

Evelyn KohHead, Compliance, Private Bank, ASEAN and South Asia, Standard Chartered Bank

Hema Latha SinnakaundanGeneral Counsel, Chief Compliance Officer and Company Secretary, Sun Life Malaysia Assurance Berhad

Hema Latha Sinnakaundan is the General Counsel, Chief Compliance Officer and Company Secretary of Sun Life Malaysia Assurance Berhad. She is responsible for the Company’s legal, compliance and company secretarial functions. Ms. Hema joined Sun Life Malaysia in 2013 with an extensive legal practice experience spanning from private practice, regulatory and in-house legal roles. Prior to joining Sun Life Malaysia, she was the Assistant General Counsel of ING Insurance Berhad which subsequently merged with AIA Berhad. Ms. Hema started her career in private practice in Malaysia and moved on to practice law in England. She then went on to join the Enforcement Division of the UK’s Financial Services Authority, before returning back to Malaysia. Ms. Hema is an active member in the insurance industry association especially with regards to new regulation and legislation that impact the insurance industry.

Ms. Hema has an LL. B (Hons) from the University of London and a Masters of Business Administration from the University of Cardiff Metropolitan. She was admitted as an Advocate & Solicitor of the High Court of Malaya in 2000 and admitted as a Solicitor of the Senior Courts of England & Wales in 2005. She obtained her Malaysian Company Secretarial License from the Companies Commission of Malaysia in 2014.

Ms. Hema and her in-house legal team were named Malaysia’s Best Insurance In-House Legal Team in 2015 (by ALB), Asia’s Insurance In-House Legal Team in 2016 (by In-House Community), South East Asia Best Insurance In-House Legal Team in 2017 (by ALB) and Asia’s Overall In-House Legal Team in 2017 (by In-House Community).

Meiyen LeeHead of Compliance Asia, HSH Nordbank

Royston NgVice President, Head of Global Regulatory Compliance, Wirecard

David NgaiDeputy Asia Pacific Head of Compliance, Global Markets, State Street

Previously Managing director, Asia Pacific for Global Financial Markets Association’s Global FX Division, David has been working with a group of 25 major international banks engaged in the discussions with the Regulators and Central Banks in multiple jurisdictions around clearing, execution, margin, trade reporting, Code of Conduct, and Business Practice Rules, and has been taking a proactive role in ensuring the industry meets enhanced transparency requirements driven by the G-20 from the FX perspective.

David is accountant by profession graduated from the University of Birmingham with Master degree in Public Administration and Development, and qualified with Arthur Andersen. David had since then being a regulator with the Hong Kong Securities and Futures Commission’s Enforcement Division, and followed by various regional compliance management positions with major financial institutions including being the Managing Director and Group Head of Compliance for China and Hong Kong with the Macquarie Group of Companies.

David has extensive experience and expertise in managing the delivery of Compliance services across multiple asset classes, and the handling of large scale regulatory enquiries against financial institutions. Other than Compliance, David has also been advising Global Markets Business Units from regulatory perspective, and participating in various committees with the Regulators and Central Banks in the region on the discussion of ongoing development of rules and regulations in relation to the Currency Management, Business Practice, OTC derivatives and FX development, including being the Chairman of the Examinations Committee for the Regulatory Body.

Robert OtteyGlobal Head of Audit – Compliance, Conduct and Financial Crime, Standard Chartered Bank

Robert is a British auditor and accountant with 25 years of professional service and banking experience. He joined Standard Chartered in January 2011 and is responsible for coordinating and overseeing global internal audit coverage of conduct, compliance and financial crime risk. This includes the Group and Country Compliance and Financial Crime functions, Conduct, Sanctions, AML, CDD, Anti Bribery, Privacy. He also has extensive experience of auditing the responses to major EU and US Regulatory Reform such as US FATCA, CRS, Dodd Frank, EMIR, Volcker, Margin Reform and GDPR. Robert has extensive experience in leading audit coverage of remediation following major regulatory events and the related engagement with UK and US regulators. Robert was initially London based with Standard Chartered before relocating to Singapore in January 2013.

Robert was previously an Audit Director for Regulatory and Legal Risk at Barclays Bank in London from 2006, which included audit coverage of major corporate expansions and acquisitions, such as Lehman Brothers in 2009. In the early 2000s he held various internal audit and compliance function roles with Investec Bank and the Kuwait Investment Office in London, following an initial career as a Chartered Accountant with Deloitte after graduating in Chemistry from Cambridge University. Robert is a Fellow of the Institute of Chartered Accountants in England and Wales, ACAMS qualified and a Member of the UK Chartered Securities Institute, holding a Diploma in Investment Compliance.

Roberto Ramirez PinsonRetail Risk Regulatory Reporting Global Lead, Citi

Dr. Douglas Streeter RolphAcademic Director, Nanyang Business School

Stanley T. ParkManaging Director, Head of Legal - Asia Pacific Region, Scotiabank

Stanley Park is Managing Director and Head of Legal – Asia Pacific Region for Scotiabank’s Global Banking and Markets Division. He is based in Singapore and is responsible for all legal matters across the region, including China, Japan, Korea, India, Australia, Malaysia, Hong Kong and Singapore. Among other responsibilities, Stanley provides (i) transactional advice and support to the Bank’s businesses related to capital markets, investment banking, commodities, corporate lending/trade finance and global transaction banking; (ii) regulatory advice and support re the Bank’s businesses; (iii) management of litigation and disputes; (iv) advice and support to the Bank’s internal or proprietary functions (including proprietary investments, HR matters, Finance); and (v) participation in corporate governance or oversight.

Prior to joining Scotiabank, Stanley was with Cleary, Gottlieb, Steen & Hamilton and Coudert Brothers in NYC, from 1992 – 2001; with Salomon Smith Barney and UBS Securities in Tokyo from 2001 – 2007; with DKR Oasis, as Chief Compliance Officer, in Hong Kong in 2008; with Barclays Global Investors, as General Counsel, in Tokyo from 2009 – 2010; and with Daiwa Capital Markets, as Senior Legal Counsel, in Singapore and Hong Kong from 2011 – 2014.

Stanley graduated from Princeton University with a Bachelor of Arts degree in Economics in 1985 and received his law degree from the Harvard Law School in 1988, where he served as an editor of the Harvard Law Review. Stanley has been a member of the New York State Bar since 1994.

Rebecca Terner LentchnerHead of Government Relations and Public Policy APAC, BNY Mellon

Vic ThamChief Operating Officer, Transaction Banking, Asia Bank of America Merrill Lynch

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