Geneva Kwok
About Geneva Kwok
Geneva Kwok is the SVP of Compliance at Jefferies, with extensive experience in compliance technology and operational risk management.
Title
Geneva Kwok holds the position of Senior Vice President (SVP) of Compliance at Jefferies. She has been with Jefferies in this capacity since 2018.
Professional Experience at Jefferies
Geneva Kwok has been serving as the Senior Vice President of Compliance at Jefferies since 2018. In her role, she focuses on ensuring adherence to compliance regulations and operational risk management by leveraging her extensive knowledge in capital markets surveillance and market abuse regulations. Her approach includes the utilization of diverse technological tools to enhance compliance frameworks.
Professional Experience at Bank of America
Before joining Jefferies, Geneva Kwok worked at Bank of America from 2006 to 2018. As a Director of Compliance Technology, she was responsible for overseeing compliance-related technologies, ensuring the firm adhered to various regulatory requirements. She worked extensively with tools such as Actimize, Microstrategy, Java, Oracle, Sybase, and Informatica.
Professional Experience at Fidelity Investments
Geneva Kwok's role at Fidelity Investments spanned from 2004 to 2006, where she worked as a Business Analyst. In this position, she contributed to the analysis and improvement of business processes within the company, enhancing operational efficiency.
Educational Background
Geneva Kwok studied at Binghamton University, where she obtained a Bachelor of Science (BS) degree in Management from 1996 to 2000. Her academic background laid the foundation for her career in compliance and business process improvement.
Expertise in Compliance and Risk Management
Geneva Kwok is an expert in capital markets surveillance with a focus on market abuse regulations across various asset classes. She has strong skills in operational risk management and compliance related to money movement, including Anti-Money Laundering (AML) and Office of Foreign Assets Control (OFAC) regulations.
Technological Proficiency
In her compliance roles, Geneva Kwok utilizes a range of software tools, including Actimize, Microstrategy, Java, Oracle, Sybase, and Informatica. These tools help her in streamlining and improving business processes, ensuring compliance, and managing operational risks effectively.
Team Leadership and Mentorship
Geneva Kwok has a proven track record of cultivating highly productive teams through influence, consensus, and mentorship. She provides guidance and builds consensus among team members, leading to increased productivity and effectiveness in compliance functions.