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.

Cherry Chan is the Compliance Director of ComplianceAsia. Cherry holds a Bachelor of Business
Administration and possesses over 10 years of experience in the compliance industry. Before joining
ComplianceAsia, Cherry worked in international asset managers. She has extensive experience in
dealing with the regulator.

Doris Li is the Associate Director, Licensing, Regulatory Compliance, of ComplianceAsia (part of IQ-EQ),
responsible for licensing matters and frequent correspondence with the MAS and SFC for licensing
applications. Doris has more than 12 years’ working experience in the banking and financial industries.
Prior to joining ComplianceAsia (part of IQ-EQ), Doris worked in multiple positions in corporate banking in
Hong Kong including approver of customer due diligence, relationship manager with portfolio of
commercial clients, and assistant manager for business clients on-boarding.
Doris holds a Bachelor of Banking and Finance from the London School of Economics and a Bachelor of
Laws from University of London.

Hardy leads a team conducting screenings, onboarding, background checks and complex financial
investigation.
Prior to joining ComplianceAsia, part of IQEQ, Hardy worked for more than 10 years in a Singapore
government agency, and his last position was in the Intelligence & Investigation Division to
investigate the finance and insurance industry before making prosecution recommendations to the
Attorney-General Chambers (Singapore).
He graduated in legal studies and has achieved several “Outstanding Enforcement Awards”
throughout his career in the government sector. Hardy has embarked on a number of professional
development training courses, which includes Certified Anti-Money Laundering Specialist by the
Association of Certified Anti-Money Laundering Specialists. Hardy is a qualified Private Investigator
accredited by the Singapore Police Force (SPF) and he is one of the participants in the 37th
Cambridge International Symposium on Economic Crimes

Justin has worked in AML and customer due diligence for 15 years in both regulated and non-
regulated industries. During the past 3 years at ComplianceAsia, part of IQEQ, Justin has assisted
Hong Kong companies subject to the Anti-Money Laundering Ordinance with AML Audits, policies and
procedures, and in-depth Institutional Risk Assessments based on quantitative and qualitative data
and provided AML support to over 60 Cayman Islands funds. Justin’s background includes client
lifecycle management in corporate banking in Hong Kong, including a major remediation project
required by a US Monitor and working in operations security in valuable cargo logistics in Germany
and Hong Kong, where he initiated and subsequently led the due diligence compliance division
at a service provider for the diamond & jewellery and precious metals industries.

As associate director of AML Services, Justin is able to provide the benefit of years of experience in
international customer due diligence and customized compliance solutions for both SFC regulated companies
and non-SFC regulated companies concerned with the potential impact of money laundering and terrorism
financing on their business.

Justin graduated from Queen Mary, University of London with joint honours in German & Russian

Thiviyah joined in 2019 and is responsible for the performance of the team and delivery of quality service
to clients.
Thiviyah’s role involves providing ongoing independent and unbiased regulatory compliance advice to
clients and handling daily correspondence with the MAS. She has worked with over 40 clients that
includes large international hedge fund and private equity managers, broker-dealers and financial
advisers. A number of these clients manage over USD100 billion of assets globally and she has worked
with compliance experts around the APAC region, the UK and the US. On a periodic basis, she conducts
training sessions for senior managers, representatives, and employees of financial institutions on
regulatory updates and compliance requirements. She also has vast experience in licensing applications
filed with the MAS and has assisted firms with setting up their compliance monitoring programme and
framework.
Prior to joining ComplianceAsia (part of IQ-EQ), Thiviyah worked at an Insurance Company as a financial
adviser to retail clients. Thiviyah graduated from the University of Western Australia and holds a bachelor’s
degree in Commerce majoring in Finance and Business Law.

Spencer provides compliance advisory, support and compliance monitoring to clients in ComplianceAsia
(part of IQ-EQ). Before joining CA, he worked in the trading and distribution industry and was responsible
for arranging shipment, products ordering, product distributing to retails.

Jasmine brought ComplianceAsia (part of IQ-EQ) with 5 years of compliance experience in an SFC licensed
asset management company (Type 4, 9 Regulated Activities) as an Operation Manager. She was
responsible for conducting regular internal compliance review, ensuring the day-to-day compliance of
relevant regulatory requirements and completing an SFC onsite inspection.
Jasmine started her career in the audit field in KPMG with client profile including the ICBC (Asia) and other
SFC licensed corporations.
Jasmine is a CPA. She holds a BBA in Professional Accounting and Information Systems from the Hong
Kong University of Science and Technology

After Ben completed his Bachelor of Science degree, he joined ComplianceAsia (part of IQ-EQ) in 2016 and
has been providing compliance advisory, support and compliance monitoring services. Ben has worked
closely with a wide range of clients over the past 6 years consisting of fund managers, brokers and
corporate finance advisory firms.