Summary
Overview
Work History
Education
Skills
References
Timeline
Generic

LEO ROGERS

Merewether,Australia

Summary

A results-driven financial services professional with over 10 years of experience in first line of defence operations, specialising in fraud prevention, financial crime controls, and risk mitigation. I bring a strong track record of leading high-performing teams, mentoring talent, and driving operational excellence in complex, regulated environments. My current position in second line Risk has provided me with access to senior management collaboration which has deepened my understanding of enterprise-wide compliance frameworks, regulatory expectations, and strategic risk oversight. Now seeking to leverage my frontline expertise, people leadership, and cross-functional insight to transition into a next step in Financial Crime Compliance, where I can contribute to protecting organisational integrity and strengthening regulatory outcomes.

Overview

15
15
years of professional experience

Work History

AML Analyst

Scottish Pacific Business Finance
07.2022 - Current
  • Permanent position following fixed term contract on the 2nd line of defence Risk team assisting the business with the transition of AML Uplift into enhanced AML compliance. Reporting to the Group Head of Risk.
  • AML program review and revision
  • Presenting of independent review outcomes and recommendations to group executives.
  • Provider of fraud risk control and awareness to 1st line of the business in response to developing trends.
  • Provision of monthly AML updates to the board
  • Review of transaction monitoring alerts generated from existing typologies and review of TMP for expansion of typologies
  • Creation of and maintaining of groupwide quality assurance program. This led to above 95% compliance rating across different business units.
  • Implementation and delivery of customised AML training focusing on customer identification (KYC); screening; customer risk assessment; unusual matter reporting; ongoing customer due diligence (OCDD)
  • Content creator of the group wide AML annual general awareness training
  • Provide ongoing expert advice to the business for all aspects of AML/KYC relating to prospects and existing customers.
  • Lodgement of Suspicious Matter Reports (SMR) to AUSTRAC
  • Member of the internal Audit and Risk Committee including biannual reporting and presentation of AML developments to the board relating to internal and external environment
  • Provider of AML/CTF expertise to board for prospective acquisitions

AML Analyst (Project)

Scottish Pacific Business Finance
01.2022 - 07.2022
  • Project based role on a 6 month fixed term contract. The position sits on the 2nd line of defence Risk team assisting the business with the implementation of an AML Uplift. Key features of the role include but not limited to:
  • Assisting with implementation of new customer identification procedures for 1st line
  • Retrospective oversight of the businesses onboarding with focus on AML/KYC
  • Ongoing quality assurance following new procedure implementation
  • Provide ongoing advice to the business for all aspects of AML/KYC relating to prospects and existing customers.
  • Conducting large scale remediation of existing customers with specific focus on ensuring customer data integrity on beneficial ownership.

Team Lead, Australia Operations Team (Customer Experience/Onboarding/Payments/Fraud prevention)

CurrencyFair
Newcastle
07.2017 - 01.2022
  • Promoted into the role of leading the Australian Operations team combining Customer Experience for the existing customer base, Onboarding of new personal and business customers, overseeing the foreign exchange risk, and ad-hoc payments/settlements related duties for a now established FinTech business.
  • To act in advisory capacity to team members on Anti Money Laundering (AML), Counter Terror Financing (CTF), fraud prevention and identification; identifying suspicious activity and transactions; payments and settlements; and general customer service.
  • Owner of the group Business Onboarding reporting and quality assurance. Includes monthly reporting to Leadership Lead and ongoing training, development, and procedure writing.
  • Perform ongoing transaction monitoring reviews of higher risk customers within Australian based customers.
  • Advise and oversee the application of Know Your Customer (KYC), standard and enhanced due diligence (EDD), for the business in the APAC region.
  • Management of daily workflow and identification of hotspots.
  • Driving cross training of the team to reduce company risk through knowledge gaps.
  • Monitoring of team productivity and performance through monthly reviews.
  • Main point of contact for Senior Management from Head Office in Ireland for the APAC region.
  • De facto Office Manager for the Australia office.
  • Extremely autonomous role.

Senior Anti Money Laundering (AML) Analyst

CurrencyFair
Newcastle
07.2014 - 07.2017
  • The Line 1 role was for a global peer to peer currency exchange fintech company from relative start-up stage to multinational. The company has headquarters in Dublin, Ireland with a smaller Australian base in Newcastle, New South Wales. The features of the role include:
  • Conduct Customer Due Diligence (CDD) on new personal and business customers situated in multiple jurisdictions.
  • Carry out Know Your Business (KYB) welcome calls to business customers.
  • Transaction monitoring of existing customers in line with AML/CTF.
  • Contribute and create new procedures and process flow maps for the Onboarding team. Improved error rates across two time zones due to increased uniformity.
  • Suggest ‘better way’ to peers and management in relation to best practice and process improvement.
  • Assist with new project suggestions, testing, and implementation. Led to increased automation and reduction of time to activation to 5 hours from 20 enhancing % of First Time Trades (FTT).
  • Identify and report suspicious activity and detect fraud trends and contribute to fraud prevention.

KYC Manager

Barclays Corporate Bank
London
01.2011 - 03.2014
  • I was recruited initially as a KYC Specialist based in the global headquarters at Canary Wharf working within the KYC (Know Your Customer) department assisting the bank’s diamond, large and medium business corporate customers. From 2012 I was transferred to Oxford Street headquarters focusing on ‘TMT’ and ‘Professionals’ industry teams. Following on I was promoted to a KYC Manager role which focused solely on the on boarding of new customers. The features of the role include:
  • Completion of the end to end KYC for new to bank customers.
  • Daily liaison with coverage colleagues and external customers offering vital advice on KYC requirements (due diligence) and adherence to Compliance.
  • Advising and implementing bank mandates
  • Right first time (RFT) processing of customer account applications and mandates
  • Target driven role concerning cycle times and adherence to AML (Anti-Money Laundering)/KYC requirements
  • Customer meetings to resolve ongoing KYC issues with VIP class customers
  • Driving the LEAN philosophy within the corporate culture involving dictating the team workflow
  • Assisted London’s leadership on national project on procedural changes
  • Open bespoke process Insolvency Practitioner (IP) accounts. There was a 2 hour SLA which is the bank’s USP for liquidator, administrator, and receivership account requests.

Education

Bachelor of Arts - Business Administration

Staffordshire University

HND - Business Studies

Staffordshire University

Skills

  • Effective problem solving
  • Excellent analytical skills
  • AML program management
  • Transaction monitoring
  • KYC compliance
  • Fraud detection
  • Risk assessment
  • Regulatory reporting
  • Quality assurance
  • Process improvement
  • Stakeholder engagement
  • Team leadership
  • Training development
  • Anti-money laundering compliance
  • Effective communication

References

Available on request

Timeline

AML Analyst

Scottish Pacific Business Finance
07.2022 - Current

AML Analyst (Project)

Scottish Pacific Business Finance
01.2022 - 07.2022

Team Lead, Australia Operations Team (Customer Experience/Onboarding/Payments/Fraud prevention)

CurrencyFair
07.2017 - 01.2022

Senior Anti Money Laundering (AML) Analyst

CurrencyFair
07.2014 - 07.2017

KYC Manager

Barclays Corporate Bank
01.2011 - 03.2014

Bachelor of Arts - Business Administration

Staffordshire University

HND - Business Studies

Staffordshire University

Similar Profiles

  • Rishab Mayur

    Rishab MayurRishab Mayur

    Business Advisor at Business Stream Scottish Water Pvt LtdBusiness Advisor at Business Stream Scottish Water Pvt Ltd

  • TAFARI THWAITES

    TAFARI THWAITESTAFARI THWAITES

    Future Business Leaders of America at Took Part in Workshops and Competitions About Business, Leadership, and Finance. Learned Skills Like Public Speaking, Networking, and Create Business.Future Business Leaders of America at Took Part in Workshops and Competitions About Business, Leadership, and Finance. Learned Skills Like Public Speaking, Networking, and Create Business.

  • Margaret Toetu

    Margaret ToetuMargaret Toetu

    Lending Officer at Pacific Finance LtdLending Officer at Pacific Finance Ltd

  • GRACE SINATHAMBY FLEGG

    GRACE SINATHAMBY FLEGGGRACE SINATHAMBY FLEGG

    Dialysis Clinic Manager at Fresenius Medical CareDialysis Clinic Manager at Fresenius Medical Care

  • Hayley Conner

    Hayley ConnerHayley Conner

    Disability Support Worker at Cerebral Palsey AllianceDisability Support Worker at Cerebral Palsey Alliance

CREATE PROFILE
LEO ROGERS