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Adrian Chua

Asia Head for Governance, Risk & Compliance (GRC)

Areas of Expertise

  • Managing and leading various large-scale regulatory, transformation projects and high-risk initiatives for Financial Services clients, as well as tracking them toward successful delivery whilst complying with high standards set by external regulators and internal IA/ORM
  • Regional consulting experience across 5 countries – Sydney, Hong Kong, Bangkok, Jakarta and Singapore
  • Previously the Head of Regulatory Compliance, MLRO and MAS Liaison Officer for a Capital Markets firm
  • Very familiar with relevant financial regulations such as SFA, FAA, SFR(LCB/FMR/RDC), AML/CFT, FATCA/AEI, TRM (2FA/BCP), PDPA, MAS Notices & Guidelines, SGX-ST/DT.
  • Pre-IPO assessment review for SGX listing applicants
     

Responsibilities

  • Developing and maintaining strong knowledge of laws, regulations and industry best practices in the compliance arena across Singapore, Hong Kong and China
  • Planning and executing the firm’s compliance programs in Asia, including monitoring and testing, identifying opportunities for improvement and communicating value added recommendations to the Board, senior management and staff
  • Managing the team of GRC specialists
  • Providing advisory to Hawksford staff regarding compliance matters
  • Regulatory-specific responsibilities: -
    • Leading communications with regulators
    • Leading the response to regulatory examinations, inquiries and other data requests
    • Working with regulators as part of industry working groups to review and improve compliance standards
  • Planning and delivering compliance training to the firm’s staff
  • Responsible for Hawksford’s compliance activities throughout Asia, including monitoring the firm’s compliance under the Singapore MAS and ACRA rules
  • Assisting the various boards capture, assess and respond to risks aligned to the Global Enterprise Risk Management (ERM) approach
  • Assisting various boards in running several key sub-committees – the Risk Committees and the Policy Committees.

Qualifications & Memberships

  • Global Masters In Finance Instituto de Empresa) Dean’s List
  • Bachelor’s Degree in Engineering (Electrical & Computer Science)
     

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