The One Team

Tao Wong, a seasoned leader with nearly 20 years of experience in the financial and compliance industry, as well as the co-founder of ComplianceOne.

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In 2007, Tao joined Haitong International (was known as “Tai Fook Securities”), where he gained extensive operational and management experience across various departments. He holds a BSc in Business Administration and Finance from University of Kansas.

With a deep understanding of compliance requirement set by regulatory bodies such as the SFC, IA, Customs, and other government agencies. Tao excels in designing strategic plans, providing tailored compliance advice, and offering operational solutions for FIs.

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Under Tao’s leadership, ComplianceOne has served nearly 1,000 FIs from diverse backgrounds, including SOEs, Securities Firms, AMCs, Listed Companies, Insurance Companies, Money Lenders, MSOs and DPMS.

Tao has also been instrumental in developing compliance technology solutions such as MoneyOne Exchange System and Screen-X AML/CRM Solutions, providing innovative services to meet the needs of FIs.

Tommy Chung, an experienced compliance professional with a strong focus on the SFC-related compliance sector. Tommy possesses extensive expertise in managing large-scale projects in the financial industry.

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After graduating from the University of Dublin in Business Studies, Tommy joined ComplianceOne in 2018. With years of hands-on experience working with licensed corporations and the SFC, he has an in-depth understanding of SFC guidelines & codes, Fit and Proper Guidelines , SFO, AMLO, Fund Manager Code of Conduct and other relevant regulations.

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Tommy excels in structuring organizational frameworks and streamlining operational processes for license FIs. He is adept at establishing review protocols, assessing policies and documentation, implementing controls and providing corrective measures to rectify deficiencies or non-compliant practices. His deep expertise in regulatory compliance for licensed corporations is highly regarded.

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Tommy has led his team in providing consultancy services to hundreds of clients, assisting dozens of licensed corporations with ongoing compliance support and operational matters such as independent reviews, dealing with on-site inspections, license applications and other FIs license-related matters as required by the SFC.

Sam Huang graduated from Peking University's Law program in 2008. Over the past 20 years, he has been involved in various types of enterprises, handling various types of financial services, including private equity investments, financing, management, and exits.

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At the same time, Sam also has experience in managing companies and has previously managed a team of 100 people. He was primarily responsible for overall planning, architectural design, personnel arrangements, daily administrative tasks, and marketing for the company.

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Sam has a background in both mainland China and Hong Kong, and has a deep understanding and knowledge of the development of the financial industry in both regions.

Joyce Wong holds a degree in Finance and Business Administration from The Hong Kong Polytechnic University. She specializes in supporting licensed corporations and financial institutions with Hong Kong SFC ongoing compliance, internal control reviews, Institutional Risk Assessments (IRA), and licensing advisory.

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Joyce has extensive hands-on experience conducting compliance reviews across Type 1, 4, 6, and 9 regulated activities. She leads walkthrough and sample testing across key business operations—including revenue processes, margin and credit control, third-party transactions, client asset protection, and conflicts of interest. She also evaluates digital asset compliance and AML policy execution for SOEs and major financial institutions.

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In IRA engagements, Joyce assists clients in mapping governance structures, assessing inherent risks across country, customer, product, and channel dimensions, evaluating control effectiveness, and drafting regulatory-ready assessment reports for the SFC.

Ken Leung graduated from the Department of Business Administration at the Hong Kong University of Science and Technology, majoring in Accounting and Finance, and is a Certified Public Accountant (CPA). He has worked at international accounting firms, managing client portfolios across multiple industries including asset management companies, securities brokerages, and banks. He has extensive experience in SFC-led reviews, regulatory compliance reviews, internal control assessments, corporate risk assessments, and anti-money laundering reviews, possessing in-depth knowledge of the SFC's pre- and post-review processes and compliance document review.

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He also specializes in internal control and auditing, having conducted internal control and joint control reviews for large financial institutions. Currently at ComplianceOne, Ken specializes in SFC licensing projects and providing ongoing compliance consulting services, covering risk assessment and management, assisting clients in meeting various regulatory requirements.

Joyce Zhong brings over 14 years of leadership experience in human resources management, with deep expertise in the asset and wealth management sectors. Having served prominent financial groups across Shenzhen and Hong Kong, she excels in executive talent acquisition for critical investment, risk, and compliance roles, as well as institutional HR architecture and labor compliance. 

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She has successfully led organizational restructurings and policy overhauls for multiple financial institutions, ensuring they seamlessly clear annual compliance audits. Currently, as Recruitment Manager at ComplianceOne Group, Joyce leverages a robust cross-border financial talent database to precisely allocate core licensed personnel—including compliance, risk control, and investment research professionals—for Hong Kong licensed corporations, insurance brokerages, and financial services firms.

Professional Bio:  Graduated with a MBA from University of Macquarie, Divina Yam started her career in an IT team of an investment bank, and was later promoted to join the finance team as AVP specialized in compliance and internal; Divina is versatile in revamping overall operation in property and insurance business, establishing new business in trusting service, private funds; and is specifically well-versed in advising and developing corporate finance activities such as CDs, bonds, due diligence and compliance field.

 

She has also been Responsible Officer for RA1, 4, 9 licensed corporation, Head of Legal and Compliance department for RA6 licensed corporation for years. Divina has also been the Head of Legal and Compliance for a licensed Insurance Broker company.

 

Projects that led by Divina includes setup insurance brokers from scratch and apply appropriate licenses, conduct mock inspections, uplift licenses, establish compliance scheme of performing dual licenses, and re-organize and amend customers’ manuals and compliance policies.

Bobo Tang graduated with a degree of sociology in the University of Hull in 2016 and subsequently completed the Executive Certificate in Finance & Compliance at HKU SPACE in 2021. Bobo Tang holds the CAMS professional qualification from the Association of Certified Anti-Money Laundering Specialists (ACAMS). She has served as a Compliance Officer and Money Laundering Reporting Officer at financial institutions, where she led the development and ongoing review of their AML/CFT systems.

Bobo joined ComplianceOne in 2020, specializing in licence applications and compliance matters for Money Service Operators (MSOs), Money Lenders (ML), and Dealers in Precious Metals and Stones (DPMS). She also conducts independent external audits for these licensed entities to ensure their AML/CFT systems meet regulatory requirements. In addition, she has provided comprehensive training and briefings on the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO) to various enterprises. With her extensive experience in financial institution licensing, Bobo currently provides practical guidance to licence applicants and their compliance officers, assisting clients in establishing robust compliance frameworks.

Ivan Lo graduated from the University of Hong Kong, Ivan Lo began his career as a surveying professional. He served as the Executive Director of the Institute of Compliance Officers (ICO) from 2017–2021, assisting ICO in its efforts to expand its business development and assist licensed corporations in complying with the regulatory compliance requirements. He has conducted over 50 online and offline seminars and organized four 36-hour financial compliance training courses for over 200 students.

 

In 2020, Ivan successfully co-organized three financial compliance courses with the School of Continuing and Professional Education (SCOPE) of the City University of Hong Kong. Two courses were recognized by the Hong Kong Qualifications Framework (HKQF) at Level 5 (university level) and one course at Level 4 (associate degree level). 

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Ivan is now concentrating his efforts on providing anti-money laundering consulting and independent external audit to licensed money lenders. He is well-recognized by the industry for having established anti-money laundering internal procedures.