Stanley Lam
About Stanley Lam
Stanley Lam is a Senior Compliance Officer at CIBC Wealth Management Compliance with extensive experience in regulatory compliance and financial services.
Current Role at CIBC Wealth Management Compliance
Stanley Lam is currently serving as a Senior Compliance Officer / Compliance Officer / Senior Analyst in Regulatory Compliance at CIBC Wealth Management Compliance. He has been with the organization since 2015, operating out of the Toronto, Canada area. His responsibilities include developing compliance monitoring examinations to ensure that business activities align with internal policies and procedures, providing recommendations to address identified deficiencies, and assisting businesses in developing control procedures in response to specific laws and regulatory requirements.
Past Experience at Ombudsman for Banking Services and Investments (OBSI)
From 2013 to 2015, Stanley Lam served as a Senior Investigator, Investment, at the Ombudsman for Banking Services and Investments (OBSI) in Toronto. During his tenure, he was responsible for overseeing and investigating complex investment-related complaints, ensuring regulatory compliance, and contributing to the development of best practices within the organization.
Previous Positions at TD Wealth and TD
Stanley Lam worked at TD Wealth from 2009 to 2013 in Toronto, where he held multiple roles including Senior Investigator, Compliance Officer, and Mutual Funds Investigation Officer. Prior to that, he worked at TD from 2003 to 2009 as a Financial Advisor, Financial Services Representative, and Customer Services Representative. Throughout his career at TD, he contributed to the investigation of compliance issues within mutual funds and provided financial advice and services to clients.
Early Career at Credit Suisse
Between 2001 and 2003, Stanley Lam worked as a Senior Financial Consultant at Credit Suisse in Hong Kong. His role involved providing financial consulting services, advising clients on investment opportunities, and ensuring compliance with financial regulations. This experience contributed to his extensive understanding of international financial markets and compliance standards.
Educational Background and Professional Designations
Stanley Lam holds a Bachelor of Arts (BA) in Mathematics for Commerce from York University, which he completed from 1992 to 1995. He further enhanced his professional qualifications by earning the Certified Financial Planner (CFP) designation from the Financial Planning Standards Council in 2005 and the Financial Management Advisor (FMA) designation from CSI Global Education Inc. in 2007. These credentials underscore his expertise in financial planning and management, complimenting his compliance and regulatory roles.