Cecilia Chan
About Cecilia Chan
Cecilia Chan is an Associate Director and Compliance Controls Specialist with extensive expertise in regulatory compliance across various jurisdictions. She holds a Master of Laws from The University of Hong Kong and has held significant roles in compliance at DBS Bank and UBS, among other firms.
Work at UBS
Cecilia Chan has been serving as an Associate Director - Compliance Controls Specialist at UBS since 2017. In this role, she provides compliance advice to various business units, utilizing her extensive knowledge of regulatory frameworks. Her responsibilities include conducting compliance reviews, regulatory audits, and monitoring surveillance specifically for wealth management. She focuses on critical areas such as Know Your Customer (KYC) processes, cross-border activities, and investment suitability.
Previous Experience in Compliance
Before joining UBS, Cecilia Chan held several positions in compliance and risk management. She worked at DBS Bank as an Assistant Vice President in Wealth Management Compliance from 2013 to 2017, focusing on both retail and private banking. Prior to that, she served as an Assistant Manager in Advisory - Business Risk at Ernst & Young from 2011 to 2013. Additionally, she worked at PwC as a Senior in Audit and Assurance for Financial Services from 2008 to 2011.
Education and Expertise
Cecilia Chan holds a Master of Laws (LL.M.) in Corporate and Financial Law from The University of Hong Kong. She also earned a Bachelor of Business Administration (B.B.A.) with Honors in Professional Accountancy from The Chinese University of Hong Kong. Her educational background supports her expertise in regulatory compliance across multiple jurisdictions, including HKMA, HKAB, SFC, and MAS. She is also a Certified Public Accountant (CPA) and a Certified Anti-Money Laundering Specialist (CAMS).
Academic Background
Cecilia Chan completed her secondary education at St. Paul’s Co-educational College. She pursued higher education at The Chinese University of Hong Kong, where she obtained her Bachelor of Business Administration (B.B.A.) degree in Professional Accountancy from 2005 to 2008. She furthered her studies at The University of Hong Kong, achieving a Master of Laws (LL.M.) in Corporate and Financial Law.
Specialization in Compliance
Cecilia Chan specializes in compliance review, regulatory audit, and monitoring surveillance within the wealth management sector. Her expertise encompasses critical compliance areas such as Know Your Customer (KYC) processes, cross-border activities, and investment suitability. She leverages her extensive knowledge of regulatory compliance to provide guidance to business units, ensuring adherence to various regulatory requirements.