Thuan Lam

Background

About Thuan Lam

15+ years of compliance risk management, reporting, and data analytic in the highly regulated U.S. financial industry • Served as compliance professional and consultant for top U.S banks, financial institutions, mortgage companies, FinTech, technology companies, and credit reporting agencies/resellers • Graduated with an M.B.A • Certified Regulatory Compliance Manager (CRCM) • Former Financial Industry Regulatory Authority (“FinRA”) Registered Principal (FinRA series 63, 7, and 24) • Strong compliance programs design and implementation skills (e.g, Compliance Management Program, Culture and Conduct, Training, Monitoring and Testing, Social Media Compliance, Call Monitoring) • Strong background working with auditors, business lines, and regulators to identify gaps within the compliance program and business operations • Strong experience in working with internal business units and external parties to implement compliance risk mitigation plan as identify by internal audit results or by the regulators (e.g, CFPB, OCC, HUD) • Strong analysis and problem solving skills • Served as the subject matter professional for multiple compliance focus areas (e.g, HMDA, Culture and Conduct Assessment, RESPA, TRID, Credit Bureau Reporting, Privacy, FCPA, Fair Lending, ECOA, FCRA, BSA / AML, SCRA and CA per diem) • Served as Project Manager for multiple key corporate strategic projects • Extensive Data Analysis, Forecasting, and Reporting skills • Knowledgeable about blockchains (POW and POS), cryptocurrencies, and related compliance rules and economics (6+ years of experience)