Phoebe Mok

Phoebe has more than 8 years of AML and regulatory compliance experience in the financial industry, having been an in-house compliance officer in various types of financial institutions/companies in the financial industry (i.e. a bank, a fund administrator, and financial institutions in the capital markets space, namely a corporate finance advisory firm and a brokerage house), before joining Ingenia.

Phoebe is well-versed in the regulatory requirements under the Securities and Futures Act 2001 and the Financial Advisers Act 2001, having had substantial experience developing and enhancing compliance frameworks, providing compliance advice with regard to the relevant regulations, driving regulatory applications for licenses in relation to capital markets services (“CMS”), and liaising with regulatory authorities and addressing their queries, for financial institutions.

Experience

Numerous financial institutions

Overseeing end-to-end compliance matters and providing compliance advice to stakeholders.

Corporate Finance Advisory firms

Facilitated the set-up of a new financial institution in the corporate finance advisory business, including the drafting of policies, and drove its regulatory application for CMS (Advising on Corporate Finance) Licence; Liaison officer to the MAS.

Investment platforms

Developed frameworks and policies to facilitate cross-border arrangements with the Head Office in Hong Kong.

Brokerage firm

Drove its CMS regulatory application for the additional regulated activity of Product Financing to facilitate its margin financing business activities.

Fund Administrator

Executed the Compliance Monitoring Program for the firm and the Continuous Client Monitoring Program on its funds and investors.

Global bank

Conducted KYC due diligence processes for the bank’s high-risk clients.

Work Experience

Academic Qualifications