Gareth Lennox
Summary
KYC and Compliance SME with 10+ years' experience across investment banking, fund management and retail banking. Strong background in quality assurance, audit and compliance with a focus on improving processes, maintaining regulatory standards and leading high-performing teams.
Overview
11
11
years of professional experience
11
11
years of post-secondary education
Work history
Associate
FinTrU
2021.06 - 2026.05
- KYC SME supporting a Tier 1 investment bank, responsibilities spanning Quality Assurance (QA), audit and regulatory reporting
- QA team lead responsible for achieving high quality scoring standards and ‘right first time' delivery across production teams
- Knowledge and experience working across multiple jurisdictions including UK, US, Germany, Hong Kong and Singapore among others
- Studied and achieved an Advanced ICA qualification in Practical Customer Due Diligence
- Deliver weekly QA feedback to teams across different regions and business units
- Produce QA and KPI reporting using Excel, this allows us to track trends and highlight risks
Risk & Compliance Team Lead
Funds-Axis Limited
2020.01 - 2021.06
- Led team performance against KPIs, including training, appraisals, and workload management
- Managed client relationships, including weekly calls, reporting, and issue resolution
- Investigated potential regulatory breaches and provided UCITS-related guidance
- Delivered management information (MI) to senior stakeholders
- Supported automation initiatives to reduce manual processes
- Supervised multinational team across UK, Ireland, and India
Securities & Derivatives Analyst
Citigroup
2017.11 - 2020.01
- Managed settlement of equity and fixed income trades for major institutional clients
- Acted as key point of contact within a “follow the sun” global service model
- Promoted within one year; took on training and supervisory responsibilities
- Delivered updates to senior management on trade issues and risks
- Recognised with monetary award and EMEA leadership acknowledgement for performance
- Formerly Securities & Derivatives Analyst (November 2017 – January 2019)
Technical Complaints Advisor
Santander UK
2015.10 - 2017.11
- Managed escalated complaints, ensuring fair outcomes and regulatory compliance
- Calculated compensation and handled Financial Ombudsman-related cases
- Provided technical support to frontline teams on banking systems
- Identified and escalated system issues and outage trends to front-line staff
- Delivered updates to senior stakeholders on technical and operational issues
Education
Advanced Certificate - Practical Customer Due Diligence
International Compliance Association
2024.01 - 2024.10
Higher Education Diploma - Business Studies
Liverpool John Moore's University
2012.09 - 2015.05
PRINCE2 Foundation - Project Management
South Eastern Regional College
2013.03 - 2014.03
A Levels - ICT, Engineering, Business Studies, History (AS)
Bangor Academy
2010.09 - 2012.05
9 GSCEs - Grades A-C, including Maths & English
Regent House Grammar School
2005.09 - 2010.05
Skills
- Native English speaker
- KYC/CDD/Regulatory Compliance
- Quality Assurance & Audit
- Stakeholder & Client Management
- Team Leadership & Training
- Process Improvement & Automation
- Microsoft Excel (advanced working level)
- Strong attention to detail and problem-solving approach
- Proactive, self-motivated, and comfortable taking ownership
- Positive and collaborative working style
- Always looking to improve
Timeline
Advanced Certificate - Practical Customer Due Diligence
International Compliance Association
2024.01 - 2024.10
Associate
FinTrU
2021.06 - 2026.05
Risk & Compliance Team Lead
Funds-Axis Limited
2020.01 - 2021.06
Securities & Derivatives Analyst
Citigroup
2017.11 - 2020.01
Technical Complaints Advisor
Santander UK
2015.10 - 2017.11
PRINCE2 Foundation - Project Management
South Eastern Regional College
2013.03 - 2014.03
Higher Education Diploma - Business Studies
Liverpool John Moore's University
2012.09 - 2015.05
A Levels - ICT, Engineering, Business Studies, History (AS)
Bangor Academy
2010.09 - 2012.05
9 GSCEs - Grades A-C, including Maths & English
Regent House Grammar School
2005.09 - 2010.05