ComplianceAsia is Asia's first independent compliance consulting firm. Established in 2003, we have offices in Hong Kong, Shanghai, Tokyo, Singapore and London. We have an unmatched track record of completing complex compliance consulting projects for financial firms in the APAC region.
Our Commitment
When you partner with ComplianceAsia, you will receive personalised services from a dedicated team overseen by our senior managers and principals. When we work with you, our focus will be to ensure clear and effective communication with you, as well as to provide quality and transparent services to ensure your organisation is in compliance with local rules and regulations.
Our People
As an APAC-focused business, we employ staff who come from a variety of different backgrounds such as accounting, finance, compliance and law, and we ensure they continue their professional memberships and affiliations. Our staff regularly attend industry forums and conferences on their specific areas of expertise to gain insights into pertinent issues, allowing them to help you and your organisation stay compliant.
To ensure we can communicate with you effectively, our team of compliance experts are fluent in English, French, Russian, Cantonese, Mandarin, Japanese, Korea and Bahasa.
Our Edge
ComplianceAsia is the longest established independent compliance consulting firm in the Asia Pacific region. Our full-time research department manages regulatory research to help our clients drive strategic change, support decision-making and help organisations stay compliance and build trust into core business processes. Our affiliates in the US and the UK ensure we can provide help for Asian based firms with their global regulatory issues.
Managing Director, Head of Regulatory Compliance, Asia
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Managing Director, Head of Regulatory Compliance, Asia
Philippa Allen, Managing Director and Head of Regulatory Compliance, Asia, has over 30 years' extensive experience with business and regulation in Asia.
Prior to founding ComplianceAsia, Philippa was the Head of Compliance, APAC for Dresdner Bank and GT Asset Management (LGT Asset Management). She was one of the drafters of the original Fund Manager Code of Conduct in Hong Kong and is involved in numerous submissions to regulators and lobbying efforts with financial industry bodies.
She graduated from the University of Western Australia with a Bachelor of Jurisprudence and Bachelor of Laws (LLB) degree. Upon graduation, she commenced practice as a barrister and solicitor for Freehill Hollingdale and Page, in Perth, Western Australia.
Philippa is a frequent speaker at financial industry conferences and technical panels, and a member of various industry representative bodies including AIMA, ASIFMA, HKVCA, IBF, SFAA and SVCA.
Director, Regulatory Compliance
Director, Regulatory Compliance
Susana, Director of Regulatory Compliance, is an accomplished professional with experiences in the financial industry and has held several senior management positions in renowned global financial organizations. She earned her Master of Business Administration degree from the Hong Kong University of Science and Technology and was elected as an Associate member of The Hong Kong Institute of Bankers in 1998.
Susana's career includes roles such as Head of Strategy and Business Development for the Private Wealth Management Division at Deutsche Bank AG. During her tenure, she played a key role in expanding the group's operations in the North Asia region. She later assumed the position of Chief Operating Officer at LGT Investment Management (Asia) Ltd., where she successfully established the infrastructure and operating platform, ultimately securing a full banking license for LGT. Subsequently, she served as the Chief Operating Officer and ACE at LGT Bank. Prior to these roles, Susana held the position of Senior Director, Head of Business Services & Quality Assurance, Private Bank International, and also served as the Executive Officer responsible for Type 1 activities at ABN.
Associate Director, Client Services, Regulatory Compliance
Associate Director, Client Services, Regulatory Compliance
Associate Director, Licensing, Regulatory Compliance
Associate Director, Licensing, Regulatory Compliance
Associate Director, AML Services, Regulatory Compliance
Associate Director, AML Services, Regulatory Compliance
Hardy spearheads AML Services in Singapore. Before joining ComplianceAsia, Hardy worked for more than 10 years in a Singapore government agency, and his last position was in the Intelligence & Investigation Division where he investigated the finance and insurance industry before making prosecution recommendations to the Attorney-General Chambers (Singapore).
Hardy is a qualified Private Investigator accredited by the Singapore
Police Force (SPF). He is one of the participants in the 37th Cambridge
International Symposium on Economic Crimes.
Associate Director, AML Services, Regulatory Compliance
Associate Director, AML Services, Regulatory Compliance
Senior Manager, Client Services, Regulatory Compliance
Senior Manager, Client Services, Regulatory Compliance
Senior Manager, Client Services, Regulatory Compliance
Senior Manager, Client Services, Regulatory Compliance
Senior Manager, Client Services, Regulatory Compliance
Senior Manager, Client Services, Regulatory Compliance
