James Ong

James Ong is an accomplished professional with extensive experience in compliance and operations within the financial sector. Currently serving as the Head of Central Compliance and Assurance at Daiwa Capital Markets since March 2018, James manages a team responsible for compliance functions, monitoring, and surveillance activities. Prior experience includes roles in market surveillance at Liquidnet, compliance monitoring at BNP Paribas, and operational analysis at Barclays Investment Bank and Credit Suisse. James holds an MBA in Finance and additional certifications in investment compliance, showcasing a strong academic foundation in business management and finance.