Kroll Associates (Asia)
1701-02 Central Plaza, 18 Harbour Road
David Liu is Head of Asia Pacific for Kroll’s Compliance practice and Head of the firm’s Hong Kong office. David works with financial institutions and corporations across the region to manage a wide array of risks and to help comply with anti-money laundering, anti-bribery, and anti-corruption regulations.
David joined Kroll from The Economist Intelligence Unit (EIU), the forecasting and advisory business of The Economist Group, where he led the consulting business in Asia Pacific. In this role, David and his team were responsible for driving the growth of the custom solutions and research business in Asia Pacific and focused on helping multinational corporations, financial institutions, sovereign wealth funds, and various governments to navigate and mitigate a wide range of commercial, operational, regulatory, political, and geographic risks.
Prior to EIU, David managed Kroll’s Background and Capital Intelligence business in Asia Pacific. David’s previous experience also included managing the business and operational risks for a venture-backed technology company in China where he developed valuable partnerships with key industry leaders including China Mobile, China Unicom, and China Telecom. Before that, David managed institutional banking partnerships at one of the top global financial institutions where he worked extensively with clients including Bank of America Merrill Lynch, Citibank, Morgan Stanley, Wells Fargo, and Deutsche Bank.
Managed hundreds of pre-transaction projects across industries and jurisdictions, which included managing complex reputational due diligence for financial institutions prior to investments as well as for corporations prior to entering new business relationships.
Managed vast number of IPO diligence projects for global and regional banks focused on anti-corruption/AML/sanctions laws, regulations, and requirements.
Worked with numerous global and regional financial institutions in support of AML/KYC review and remediation. In addition, managed numerous projects with various global private banks regarding source-of-wealth diligence.
Third Party Risk Management
Led numerous FCPA compliance program reviews for various multinational corporations, including overall risk assessment and implementation of comprehensive compliance and third party programs to mitigate the risk faced in a range of jurisdictions.
Managed multiple market sizing, market entry, and benchmarking assessment projects in Asia for corporations and sovereign wealth funds.
Education and Certifications
- M.B.A., Kellogg School of Management at Northwestern University
- B.S., University of California
- Due Diligence
- Compliance Programs
- Anti-Money Laundering (AML) and Know Your Customer (KYC) Programs
- Foreign Corrupt Practices Act (FCPA) and Anti-Bribery Compliance
- Corporate Transaction Due Diligence
- Third Party and Vendor Screening
- Market Entry