Kwong-Ning Chan MCSI

Kwong-Ning Chan MCSI has a strong background in compliance, gaining experience in various roles over the years. Starting in 2012, they worked as a Specialist Investments Adjudicator at the Financial Ombudsman Service until 2014. They then joined the Financial Conduct Authority as an Associate, where they worked until 2015. In 2015, they briefly worked as a Compliance Contractor at Plus500™. From 2016 to 2018, they served as a Compliance Analyst at X-Trade Brokers DM SA, followed by a role as a Compliance Associate at Olivetree Financial in 2018. Kwong-Ning then worked at ADM Investor Services International Limited as a Compliance Advisor from 2018 to 2021. Currently, they are employed as a Senior Compliance Associate at InvestEngine, and have recently transitioned to the role of Compliance Manager.

Kwong-Ning Chan MCSI completed a Legal Practice Course at The University of Law from 2008 to 2009. Prior to this, they pursued an LLB degree in Law at the University of Westminster from 2004 to 2008. In addition to their formal education, Kwong-Ning Chan MCSI has obtained various certifications, including the CISI Level 6 Diploma in Investment Compliance from The Chartered Institute for Securities & Investment (The CISI) in December 2019. They have also achieved the CISI Investment Operations Certificate and the Investment Management Certificate from the Chartered Institute for Securities & Investment (CISI) and CFA UK respectively, although the specific dates of obtaining these certifications are unknown.