Sau Lim Email
Head of APAC Markets Compliance @ Wells Fargo
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Sau Lim Location
- Singapore
Sau Lim Work
- Head of APAC Markets Compliance @ (March 2022 - Present)
- Head of Global Markets Compliance, Asia ex-Japan @ Mizuho Securities (December 2021 - March 2022)
- Co-Head of APAC FICC Compliance @ (May 2014 - December 2021)
- Head of Compliance, Singapore @ (August 2011 - May 2014)
- Assistant Director, Complex Institutions @ (January 2008 - July 2011)
- Senior Associate @ (July 2005 - January 2008)
Sau Lim Education
- CFA Institute
Passed CFA Level 3 (Finance)
2006-2009 - GARP Insitute
Certified FRM (Risk Management)
2006-2007 - Nanyang Technological University Singapore
Bachelor of Accountancy (Hons)
2002-2005
Sau Lim Skills
- Derivatives
- Investment Banking
- Financial Risk
- Risk Management
- Fixed Income
- Financial Regulation
- Operational Risk
- AML
Sau Lim Summary
- Sau Lim, based in Singapore, is currently a Head of APAC Markets Compliance at Wells Fargo. Sau Lim brings experience from previous roles at Mizuho Securities, JPMorgan Chase & Co., Standard Bank Group and Monetary Authority of Singapore (MAS). Sau Lim holds a 2006 - 2009 Passed CFA Level 3 in Finance @ CFA Institute. With a robust skill set that includes Derivatives, Investment Banking, Financial Risk, Risk Management, Fixed Income and more. Sau Lim has 2 emails on RocketReach.
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