Kai Chew

Head of Compliance Senior Vice President @ Northern Trust

About

I am a dynamic, responsible and positive leader with over 14 years experience working in England and Hong Kong. As an effective communicator and possessing a high EQ, I have a good track record of solving difficult regulatory issues, driving remediation with the business and delivering positive solutions-based outcomes. I have hands-on experience working with: - Regulator engagement & relationship management - Enforcement and remediation - Enhancing controls framework - Regional compliance initiatives - Team management & coaching - Regulatory landscape change - Compliance risk assessment implementation

Country

City

Hong Kong SAR

Industry

Investment Management

Skill

Financial Regulation, Regulations, Hedge Funds, Bloomberg, Investment Banking, Derivatives, Regulatory Affairs, Securities, UCITS, Due Diligence, Financial Services, Investments, Risk Management, Compliance Monitoring, Mutual Funds, Alternative Investments, Asset Management

Experience

Head of Compliance Senior Vice President

Northern Trust

2022-9 - Present · 4 yrs 1 mo

Hong Kong SAR

Head of Central Compliance Advisory, Global Markets APAC

HSBC

2021-2 - 2022-8 · 1 yr 7 mos

Hong Kong SAR

Head of Business Compliance

Fidelity International

2017-6 - 2021-1 · 3 yrs 8 mos

Hong Kong

Head of Compliance, Hong Kong

Commerzbank AG

2015-10 - 2016-11 · 1 yr 2 mos

Hong Kong

Oversight of both corporate bank and capital markets activities at the Hong Kong branch. Leading day-to-day activities of the compliance team and responsibility for trading floor advisory. Key stakeholder of various committees working on several regulatory exercises. Dealing directly with HKMA, SFC, Hong Kong Exchange and also external counsel and consultants.

Senior Compliance Manager HK/Asia

Matthews Asia

2012-11 - 2015-10 · 3 yrs

Hong Kong

Compliance Officer for Hong Kong, London and oversight of Asia and Europe. - Financial promotions & marketing - Compliance reviews - UCITS / Mutual Funds compliance - Licensing and general regulatory affairs - PRC QFII compliance officer

Vice President, Compliance

UniCredit

2011-6 - 2012-11 · 1 yr 6 mos

City of London

A leadership role that involves managing 2 staff and 2 interim staff in the Core team. My role was to design and implement a Compliance Risk Assessment throughout the business, which formed the basis of a Compliance Monitoring Plan based on the risks identified.