Full Name
Debra Au
Job Title
Chief Compliance Officer & Alternate Chief Executive
Company
RD Innotech
Speaker Bio
As 1 of the Top 15 Asia Chief Compliance Officer, Debra has been nominated for multiple government pro-bono roles in Hong Kong. She has been nominated as the ASP Co-Chair of Global Coalition Fighting for Financial Crime (“GCFFC”) which is a non-profile organization to advise the FATF work in the USA. Since June 2022, Debra heads up the HK Legal Compliance & Compliance Secretariat teams and is the HKMA s72B Senior Manager, HKEx Compliance Officer of DBS HK. after 18 years serving as the Compliance professionals in the Goldman Sachs, Newedge/Societe Generale and HSBC Hong Kong.
Debra starts her career in the Goldman Sachs and settled under the Compliance department due to her academic background, where she focused on Compliance, Anti-Money Laundering and Financial Crime due to the 911 terrorist attack in the US. She then joined Societe Generale to continue her Compliance career, and worked in various entities under Societe Generale Global Banking & Markets businesses.
In Q4 2015, Debra decided to further enrich her career development by switching her 2nd Line of Defence experience to join the business front. She joined HSBC ASP under the COO office of the Global Banking and Markets ("GBM"), focusing on supporting the ASP GBM business with her compliance professions on
Compliance, Financial Crime & Deferred Prosecutions Agreement ("DPA") related matters. In Q3 2017, Debra was being appointed to the role as Hong Kong Head of Financial Crime Compliance due to her long-standing experiences in dealing with financial crime related regulatory matters. In Q2 2019, Debra successfully leaded the HK FCC team as well as the Businesses in HK in passing the s166 Skilled Person ("SP") review with an eminent result that helps the group in negotiating with the regulators, the Financial Conduct Authority ("FCA") in the UK for further narrow the scope of the mandatory regulatory reviews. In Q3 2020, Debra was being appointed to the role as Chief Compliance Officer for Hong Kong and Macau covering all compliance related matters, including regulatory, financial crime, conduct, fraud, investigations & surveillance, etc and the latest role being requested by the bank since Q4 2021 to be the Head of Financial Crime Compliance for HK and Greater Bay Areas/China to focus and support on the evolving geo-political challenges as well as the major incidents where the bank encountered.
After nearly 7 years adventure in HSBC with successful contributions, Debra decided to further enhance her career and take on a bigger role with coverage on Legal and Compliance Secretary arenas as the Head of Legal, Compliance and Secretariat covering HK and China since June 2022.
Debra starts her career in the Goldman Sachs and settled under the Compliance department due to her academic background, where she focused on Compliance, Anti-Money Laundering and Financial Crime due to the 911 terrorist attack in the US. She then joined Societe Generale to continue her Compliance career, and worked in various entities under Societe Generale Global Banking & Markets businesses.
In Q4 2015, Debra decided to further enrich her career development by switching her 2nd Line of Defence experience to join the business front. She joined HSBC ASP under the COO office of the Global Banking and Markets ("GBM"), focusing on supporting the ASP GBM business with her compliance professions on
Compliance, Financial Crime & Deferred Prosecutions Agreement ("DPA") related matters. In Q3 2017, Debra was being appointed to the role as Hong Kong Head of Financial Crime Compliance due to her long-standing experiences in dealing with financial crime related regulatory matters. In Q2 2019, Debra successfully leaded the HK FCC team as well as the Businesses in HK in passing the s166 Skilled Person ("SP") review with an eminent result that helps the group in negotiating with the regulators, the Financial Conduct Authority ("FCA") in the UK for further narrow the scope of the mandatory regulatory reviews. In Q3 2020, Debra was being appointed to the role as Chief Compliance Officer for Hong Kong and Macau covering all compliance related matters, including regulatory, financial crime, conduct, fraud, investigations & surveillance, etc and the latest role being requested by the bank since Q4 2021 to be the Head of Financial Crime Compliance for HK and Greater Bay Areas/China to focus and support on the evolving geo-political challenges as well as the major incidents where the bank encountered.
After nearly 7 years adventure in HSBC with successful contributions, Debra decided to further enhance her career and take on a bigger role with coverage on Legal and Compliance Secretary arenas as the Head of Legal, Compliance and Secretariat covering HK and China since June 2022.
Speaking At
