簡歷
Nicky Kwok is a Principal in Moore Hong Kong Advisory Services, specialising in regulatory compliance, financial crime compliance and governance advisory for the financial services sector. She advises financial institutions on navigating evolving regulatory requirements, strengthening governance frameworks and enhancing compliance and financial crime risk management capabilities.
Experience
Nicky has extensive experience in regulatory compliance, compliance governance, financial crime compliance, AML/CFT, internal controls and risk management. Her background spans both professional advisory firms and financial institutions, combining advisory expertise with practical in-house experience and providing her with a strong understanding of regulatory requirements and the compliance challenges facing financial services organisations.
She has advised banks, securities firms, asset managers, insurers and virtual asset service providers on regulatory and compliance matters, including regulatory compliance reviews and gap assessments, compliance frameworks and governance, regulatory change and remediation, policy and procedure development and enhancement, regulatory inspection readiness, AML/CFT and financial crime risk assessments, and internal control reviews.
Prior to joining Moore Hong Kong, Nicky worked in the Financial Crime Compliance function of a Hong Kong bank, where she was responsible for regulatory advisory, compliance governance and financial crime compliance matters. She previously spent several years in risk and regulatory advisory, leading regulatory compliance, internal control and AML/CFT engagements for financial services clients and advising senior management on regulatory and compliance matters.
資格
- Bachelor of Commerce in Accounting
- Bachelor of Laws (LLB)
- Master of Global Business
- Master of Corporate Governance
- Certified Anti-Money Laundering Specialist (CAMS)
- Associate AML Professional (AAMLP)
- Chartered Secretary and Chartered Governance Professional (ACG, HKACG)