Kate Lau

FCC Risk and Exam Management

• Led FCC responses to internal and external audits, regulatory interactions, and inspections in APAC.
• Led engagement with business and internal stakeholders and advised on impacts of proposed transactions, new products, or business initiatives, taking into account firm policy and regulatory requirements.
• Led enterprise-wide risk assessments in jurisdictions including Hong Kong, Singapore, Japan, Korea, Australia, Taiwan, etc., with strategic focus on effective AML/CTF risk management.
• Monitored regulatory updates and developed AML/CTF policies and procedures in APAC, driving alignment with regulatory expectations and industry best practices.

Compliance Program Review and Remediation

• Evaluated design and operational effectiveness of FCC programs for major American/ European/ Australian financial institutions.
• Led KYC, anti-bribery and corruption and sanctions remediation for top-tier financial institutions in APAC.
• Conducted pre-IPO forensics accounting reviews and asset tracing exercises to investigate unusual patterns indicative of AML/CTF risks.

Enhanced Due Diligence (EDD)

• Reviewed and remediated EDD documentations for one of the largest global commercial banks.
• Advised on client relationships from an AML/ sanctions control perspective.