Leslie Rogers
Avenue Wendt 36, Geneva
Summary
Professional with 17 years of international experience evaluating financial crime issues within private and investment banks. I have the necessary skills and abilities to develop and implement policies, procedures and frameworks that will ensure compliance with existing Swiss regulations and best practices.
Overview
18
18
years of professional experience
Work History
Anti Money Laundering Reporting Officer
ALPIAN SA
05.2021 - 10.2023
- Designed and implemented anti-money laundering policy and procedures for a newly established digital bank.
- Designed screening and monitoring controls in accordance with the requirements of the Swiss Anti-Money Laundering Act.
- Assisted in the configuration of the digital screening and monitoring tool (Napier) from concept to implementation.
- Worked closely with various departments to establish a coherent and efficient control system.
- Utilised strong analytical and problem-solving skills to manage alerts on high-risk transaction monitoring.
- In specific cases, advised the client facing department on the documentation to be provided to ensure a smooth onboarding process.
- Assessed client risk at onboarding and identified high risk indicators.
- Performed in-depth due diligence and background checks
Compliance Assurance, Financial Crime
BARCLAYS PRIVATE BANK
10.2016 - 04.2021
- Evaluated the design of AML controls to ensure compliance with Swiss regulations.
- Performed operational effectiveness testing of AML controls against the established framework.
- Traveled across geographical boundaries (Monaco, France and UK) performing assurance work for Barclays Private Bank UK and Barclays Private Bank & Overseas Services.
- Prepared and presented detailed reports of findings.
- Negotiated with key stakeholders on the findings and, where necessary, agreed remedial actions.
Onboarding Specialist
BARCLAYS PRIVATE BANK
01.2011 - 09.2016
- Performed KYC checks on individual and corporate customers in accordance with CDB and internal requirements.
- Ensured completeness and plausibility of client information profile.
- Analysed AML issues raised by complex corporate structures involving trusts and offshore companies.
- Conducted in-depth due diligence during onboarding by using Worldcheck, Lexis Nexis and internet searches.
- Ensured smooth onboarding of clients in complex situations by presenting business-oriented solutions to relationship managers.
- Worked collaboratively with the Compliance advisory and Legal departments.
KYC Analyst
SOCIETE GENERALE CORPORATE & INVESTMENT BANK
01.2007 - 12.2010
- Assessed and determined risk rating using specific criteria.
- Performed periodic reviews of existing clients.
- Carried out due diligence on new corporate clients using Worldcheck, Lexis Nexis and public sources.
- Ensured compliance with French and UK money laundering regulations.
- Interpreted evidence from multiple tools and systems to determine the legitimacy of client behaviour.
- Evaluated onboarding of offshore asset managers, hedge funds and Eastern European/Russian/CIS banks.
- Wrote reports to MLRO summarising client information and recommending risk ratings and mitigating factors.
KYC Analyst
HSBC PRIVATE BANK
01.2006 - 09.2006
- Ensured compliance with HSBC internal rules and French legislation on AML of existing client files, following the acquisition of several banks.
- Conducted research on Worldckeck and Lexis Nexis on clients, power of attorney holders and source of wealth.
- Verified the completeness of the client profiles drafted by the relationship managers.
Confirmed and documented the client's source of wealth.
Education
Master - International Business Law
University Paris V
France2004
Skills
- Know Your Customer reviews
- Client risk assessment
- Complex money laundering Investigations
- Policy Development and implementation
- Stakeholder relationships management
- AML risks and controls effectiveness assessment
- Senior Management reporting
- Fluency in spoken and written English
Affiliations
International Diploma in AML, International Compliance Association
Languages
French
Bilingual or Proficient (C2)
English
Bilingual or Proficient (C2)
Italian
Elementary (A2)
Russian
Beginner (A1)
Timeline
Anti Money Laundering Reporting Officer
ALPIAN SA
05.2021 - 10.2023
Compliance Assurance, Financial Crime
BARCLAYS PRIVATE BANK
10.2016 - 04.2021
Onboarding Specialist
BARCLAYS PRIVATE BANK
01.2011 - 09.2016
KYC Analyst
SOCIETE GENERALE CORPORATE & INVESTMENT BANK
01.2007 - 12.2010
KYC Analyst
HSBC PRIVATE BANK
01.2006 - 09.2006
Master - International Business Law
University Paris V
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