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ComplianceAsia Internal Audit

The penalties for financial industry firms which fail to implement effective and compliant AML & CTF policies, KYC procedures, outsourced services, due diligence, employment screening and internal audit are increasing on a daily basis.

Regulators and law enforcement agencies in the Asian region and around the world have never been more active in this area.

ComplianceAsia has been dealing with these issues for many years and have an experienced team in a new division to ensure that firms meet regulatory expectations in these areas.

ComplianceAsia Internal Audit will focus on providing services to financial industry firms based in or operating in the Asia Pacific region.  We do this by successfully marrying solid investigative experience alongside a long history of ensuring compliance with rules and regulations for licensed and regulated firms.

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AML, KYC, & customer due diligence

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Enhanced customer due diligence

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Due diligence services

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Employee screening

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Fraud investigation and management programmes

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Internal audit in Singapore

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Anti-bribery and FCPA programs

About ComplianceAsia Group

ComplianceAsia is the longest established compliance consulting firm in Asia Pacific set up in 2003 with offices in Hong Kong and Singapore. We have an unmatched track record of completing complex compliance consulting projects for financial firms in the APAC region. With over 50 staff who are compliance experts with experience in dealing with the SFC, HKMA, MAS, CSRC, JFSA and Asian exchanges, we provide independent, unbiased advice on Asian financial industry legislation and regulations. Our international client base consists of asset managers, hedge funds, private equity funds, family offices, broker-dealers, insurers, wealth managers and investment banks.

Philippa

Philippa Allen – Founder, CEO

Philippa Allen, CEO of ComplianceAsia, has over 30 years’ extensive experience with business and regulation in Asia. ComplianceAsia was set up in 2003 and has offices in Singapore, Hong Kong and Shanghai, and employs over 35 people, all with a financial industry background and a mix of compliance, legal and accounting skills. ComplianceAsia focuses solely on providing compliance advice, consulting and solutions in the financial industry.

Philippa’s career includes a role at Dresdner Bank as Head of Compliance for Asia Pacific. At GT Asset Management, later LGT Asset Management, until its acquisition by Invesco, Philippa took on the role of Head of Legal and Compliance for Asia. Philippa holds a Bachelor of Jurisprudence and Bachelor of Laws (LLB) from the University of Western Australia. 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.

Alex

Alex Duperouzel – Managing Director

Alex Duperouzel is one of the co-owners and the Managing Director at ComplianceAsia. He supervises the licensing and ongoing support practices in Hong Kong with a large number of the leading firms in Hong Kong working with his team. Alex is a Chartered Accountant registered in Australia with a Bachelor of Commerce degree.

He has been based in either Hong Kong or Singapore since 1991, working for various firms including Kroll Associates, investigating fraud and white collar commercial crime.

Prior to moving to Hong Kong, Alex worked for several international accounting firms in Perth, Australia in their respective insolvency and business reconstruction practices. Alex holds a Bachelor of Commerce from the University of Western Australia (Major in Accounting and Finance) and is a Member of the Institute of Chartered Accountants in Australia.

In September 2001 and 2002, Alex was a participant at the Jesus College Economic Crime Symposium and in 2003 Alex was a participant at the inaugural Kennedy School of Government program on corruption control and organisational integrity at Harvard.

Nithi

Nithi Genesan – Head of Singapore 

Nithi is a Managing Director at ComplianceAsia Singapore, manages a number of compliance projects and is in charge of the compliance team that manages the ongoing work for a large number of licenced intermediaries in Singapore. She also supervises all licencing cases in Singapore as completed by the licencing department.

She holds a Bachelor of Science in Real Estate from National University of Singapore and a Masters in Applied Finance from the University of Adelaide. She has also attended a Professional Compliance Diploma awarded by the International Compliance Association and University of Manchester Business School in 2010.

Nithi has worked in Compliance since 2007 and prior to joining ComplianceAsia, she worked in compliance for CityIndex Asia Pte Ltd, a CFD and leverage foreign exchange brokerage firm in Singapore, and for ABN AMRO Bank in Singapore.

Hardy

Hardy Hussain – Deputy Head of Singapore

Hardy is currently the Deputy Head of Singapore office and he spearhead the AML Services (Singapore) by ComplianceAsia. Prior to joining ComplianceAsia, Hardy worked for more than 10 years in Singapore government agencies and his last position was in the Intelligence & Investigation Division where he played a pivotal role in Field Intelligence which led to several high-profile media cases. He was posted to the Special Investigation Unit to investigate the finance and insurance industry and make prosecution recommendations to the Attorney-General Chambers. Hardy is a qualified Private Investigator accredited by the Singapore Police Force.