Experience
At Compliance First Consulting Limited, our founders bring a wealth of knowledge and expertise, ensuring our clients receive the highest level of compliance and risk management services. With extensive experience in the financial and compliance sectors,
Ms. Celia Mok and Ms. San Yau have successfully led numerous projects and guided many companies through complex regulatory landscapes.
Their leadership and dedication have been instrumental in our continued success and the trust our clients place in us.
Ms. Celia Mok
Co-Founder and Director
With over a decade of experience in the financial and compliance sectors, Ms. Celia Mok is a seasoned professional specializing in fund compliance setup and corporate/individual license maintenance, particularly in the Asia-Pacific region.
Career Highlights:
- Licensing Manager (2006-2011): Managed a team of 10 compliance professionals, handling over 60 corporate license applications and corresponding individual licenses at a leading compliance consultancy firm.
- Compliance Manager (2003-2005): Led major projects for fund setup from inception to completion, including legal documentation review, internal policy implementation, and communication with regulators.
Ms. Mok holds a Bachelor’s degree in Business Administration and Accounting from the University of Queensland and is a Certified Financial Consultant.
Ms. San Yau
CPA, LLB, Co-Founder and Director
Ms. San Yau has over a decade of experience in the financial sector, primarily in the Asia-Pacific markets. Her expertise includes building and strengthening compliance systems and policies across various financial institutions.
Career Highlights:
- Senior Compliance Manager: Developed and enhanced compliance systems and policies for an Asia-based investment bank, covering securities brokerage, underwriting, proprietary trading, research, corporate finance, fund setup, portfolio management, and internal controls.
- Compliance Manager (2010-2011): Provided compliance advisory services to asset management companies at a leading business and compliance consultancy firm.
- Assistant Manager (2006-2008): Conducted assurance projects and internal control reviews for clients in the financial industry, including investment banks, retail banks, large commercial banking groups, and fund management companies at a globally leading CPA firm.
Ms. Yau holds a Diploma in Law and an L.L.B from the University of London. She is also a Certified Public Accountant (CPA) Charter-holder.
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