Laurie Shen Tham, Allia Consulting

Industry Expertise: 

  • Financial Services
  • Government
  • Higher Education

Professional Memberships:

  • Project Management Professional (PMP), 2005-2015
  • Institute of Internal Auditors (IIA)
  • SIFMA Internal Audit Society
  • NYSSCPA, AML, Brokerage, and Asset Management Committees

Languages: English, Conversational Mandarin

Laurie Shen

Managing Principal

Biography

Laurie is an accomplished leader in internal audit, risk and compliance with 25+ years of experience in driving and delivering tangible results for financial services and not-for-profit organizations. Laurie is passionate about elevating and improving the internal audit and consulting industry. She brings integrity and collaboration in serving her clients.

Most recently, Laurie served as Principal in Advisory Services at UHY LLP where she grew and fine-tuned the Internal Audit practice.  Prior, Laurie was Managing Director of the Financial Services Business Advisory practice at Grant Thornton LLP where she started her career over 19 years ago. Laurie also has 7 years of financial services industry experience at JP Morgan and Merrill Lynch, where she led and implemented operations projects in Fixed Income and Derivatives.

PROFESSIONAL EXPERIENCE

Internal Audit/Internal Controls/Compliance
Led and performed various internal audit engagements to help clients mitigate fines, reduce expenses, and recapture revenues. Laurie has performed risk assessments, Quality Assessment Reviews, internal controls reviews of Operations, Compliance, AML, and Technology functions for Not-for-Profits, Hedge Funds, Asset Managers, Broker Dealers, and Banks.
Gap Assessment & Process Improvement
Led and performed various process improvement and project management engagements for financial services companies including: gap assessment of customer segregation requirements, gap assessment of regulatory reporting requirements, assessment of Sales and Trading practices, and recommend and improve trade reporting.
Information Technology & Security, Project Management & SDLC
Led internal audit and internal controls assessments of Information Technology and Security. Implemented Program Management Office tools and processes. Executed onsite project management and business analysis. Assessed and developed process improvement processes and tools in software development lifecycle and IT resource management.

THOUGHT LEADERSHIP

  • Presenter and moderator of the Cyber Financial Crimes Breakfast Roundtable, June 2016.
  • Author of “Impact of IT Outages in the Financial Services Industry”, October 2016.
  • Author of “Cyber Security: Entering a Period of Consequences”, April 2016.
  • Presenter of “Role of Directors and Audit Committees at Banks”, Independent Bankers Association of New York State, October 2015.
  • Author of “Overcoming the Complexities of Volcker Rule”, October 2015.
  • Presenter of “Internal Audit Challenges and Opportunities,” Financial Managers Society of New Jersey, February 2013.

Skills

Internal Audit90%
Risk Management70%
Project Management100%
Compliance85%

Contact Info

Cell : 1-917-689-9829
Email : lshen@alliaconsulting.com