Our unparalleled experience includes domestic and international money laundering law enforcement investigations, managing regulatory inquiries and actions, developing and implementing national AML/CTF regulation, as well as developing pragmatic responses to AML/CTF compliance and risk management requirements.
Being AML/CTF specialists means we are able to deliver industry-leading outcomes and client experiences with compelling value by adopting a highly practical and pragmatic approach to solving clients’ AML/CTF issues and challenges.
Initialism’s team of AML/CTF professionals all have extensive backgrounds in AML/CTF compliance and risk management. Working within reporting entities they have a proven track record of providing practical advice and delivering compliant, proportionate, and business sensitive AML/CTF compliance solutions.
Initialism complements its own expert internal capacity through its strategic partnership with Grant Thornton Australia. This partnership gives Initialism access to significant additional on-demand capacity, including access to additional experienced AML/CTF, Auditing and Data Analytics resources.
Through Initialism you can access AML/CTF industry experts with unique backgrounds in financial crime risk management spanning the last 30 years. Our experience and knowledge has been developed across all aspects of the AML/CTF industry, including as AML/CTF compliance officers. Our consultants all have a proven track record of providing practical advice and delivering compliant, proportionate and business sensitive AML/CTF compliance solutions.
Neil is the Principal of Initialism and has a unique background in financial crime risk management, spanning over 25 years. This includes working within Law Enforcement agencies investigating domestic and international fraud and money laundering, as an AML/CTF regulator, and he has held senior AML/CTF leadership roles within Australian and global financial institutions.
Neil has also worked at senior levels managing AML, Sanctions and Anti-Bribery compliance across Europe, the US, Latin America, Asia and Australia within three major European financial services companies and one of the major Australian banks.
Neil has extensive experience in designing and implementing policy and controls to address AML/CTF and TFS compliance and since August 2012 has been working as an independent consultant advising financial institutions in Australia and globally on AML, Sanctions and Anti-Bribery matters.
In addition, Neil is member of the faculty and lectures as part of the International Compliance Association (ICA) Diploma of Applied Anti Money Laundering and Counter Terrorism Management, is a founding member of the SWIFT Sanction Advisory Group, and has regularly attended the Private Sector Expert Forum of the Financial Action Task Force (FATF).
He was founding Joint-Chair of the Association of Certified Anti-Money Laundering Specialists (ACAMS) Australasian Chapter, and has been a member of the UK Joint Money Laundering Steering Group (JMLSG) Board.
Since August 2011 Neil has been working as a consultant advising organisations in Australia and globally on AML/CTF, and TFS matters, including a major global provider in financial crime risk management solutions, developing innovative solutions to address global challenges in the area of customer due diligence.
Neil was the AUSTRAC appointed expert witness in the civil claim against CBA and Westpac. Neil was also the AUSTRAC authorised External Auditor for Afterpay.
Jane has extensive experience of office management within the criminal justice and financial services sectors. Jane manages and leads Initialism’s back office and accounts team.
Jane has extensive office management experience, previously holding positions with the UK Crown Prosecution Service Special Casework Division, a major public transport utility, a Lloyds of London insurance broker, and an Insurance and Risk Managers association whose members include company secretaries, finance directors, internal auditors, and risk and insurance managers.
Jane holds a Bachelor of Arts Degree in English Literature, a post-graduate Diploma in Criminology and Prison Studies, and also holds a Masters Degree in Criminal Justice Policy from the London School of Economics and Political Science, with her final thesis being on offender profiling and serial murder.
Chris has 12 years’ experience across a variety of financial crime risk management roles within the financial services sector and has AML/CTF, Sanctions, and Anti-Bribery and Corruption experience across Australia, the UK, the US, and South Africa, holding senior operational as well as risk and compliance roles.
Chris’ experience spans private banking, wholesale and corporate banking, investment banking, retail and business banking, and wealth management across a range of global and domestic banks.
Chris headed up the KYC, AML/CTF, Sanctions and On-Boarding function for Europe, Middle East and Africa (EMEA) regions as well as US out of hours operations for one of the world’s top global Investment Banks.
Chris was a senior member of the Financial Crime Risk team at a major Australian bank where he was responsible for maintaining the AML/CTF Program and leading the redesign of the bank’s Politically Exposed Persons (PEP) Review Methodology, and he specifically supported the Corporate & Institutional Division’s management to mature their response to financial crime risk.
As Head of AML/CTF Compliance at another Australian Bank, Chris provided expert AML/CTF advice and guidance to all business divisions. This included supporting a large transformation project.
Chris holds a Bachelor’s Degree in Business Management and has the International Compliance Association’s (ICA) Diploma of Applied Anti-Money Laundering and Counter-Terrorism Financing Management.
Chris has been working as an independent consultant advising a range of reporting entities in Australia on AML/CTF, CIP/KYC and Sanctions matters since July 2019.
John has worked in financial services for over 40 years, working in senior operational roles and AML, Sanctions and Anti-Bribery compliance roles for two major Australian financial institutions.
John’s AML, Sanctions and Anti-Bribery experience spans Australia, the UK, the US, and Asia holding senior compliance and assurance roles for one of the major Australian banks.
Heading up global sanctions compliance for a major financial institution here in Australia, John developed sanction compliance controls and governance processes across multiple businesses and jurisdictions.
Whilst Senior Manager of AML/CTF Assurance at a major Australian Bank, John developed and implemented AML/CTF and TFS oversight and review methodologies and processes to provide assurance to the banks senior management and board risk committee.
John is also the chairman of a community bank offering the full range of financial products and services to retail customers in Victoria.
John holds the International Compliance Association (ICA) Diploma of Applied Anti Money Laundering and Counter Terrorism Management, and since May 2013 has been working as an independent consultant advising financial institutions in Australia on AML/CTF and Sanctions matters.
Vicki has 13 years’ experience across a variety of financial crime risk management roles within the financial services sector. She has AML/CTF and Sanctions experience across Australia and New Zealand, having held senior risk and compliance roles, as well as leading AML/CTF operational teams. Additionally, Vicki has experience in regulatory engagement with both AUSTRAC and ASIC, and is familiar with a broad range of financial services regulatory obligations.
Vicki’s experience spans consumer and commercial financial services and wealth management across a range of global and domestic financial institutions.
Vicki was the Australian AML/CTF Compliance Officer and headed up the AML/CTF compliance and operational function across Australia and New Zealand for a well-known consumer lending business. She also worked in a senior AML/CTF compliance role for a large global organisation across consumer and commercial lending, supporting compliance with both local AML/CTF regulatory requirements as well as US Head Office policy requirements.
Vicki was a member of the AML/CTF Compliance team at a major Australian bank where she was responsible for writing and maintaining the AML/CTF Program, specifically supporting the Personal/Retail Banking Division to implement and enhance controls in response to financial crime risk.
Through her roles, Vicki has developed unique experience in AML/CTF obligations concerning acquisition and divestment, the selection and implementation of Transaction Monitoring and Watchlist Screening Systems, and the oversight and management of outsourced AML/CTF services. Having previously held operational roles, Vicki brings a pragmatic approach to AML/CTF controls designed to meet regulatory obligations and expectations.
Vicki is CAMS certified, holds the International Compliance Association’s International Diploma in Applied Anti-Money Laundering and Counter-Terrorism Financing Management and has completed training in Implementing and Monitoring AML/CTF Programs. Vicki also has a Bachelor’s Degree in Business (Banking & Finance).
Martin has held wide-ranging roles in financial crime risk management in Australia and Europe over the past 20 years, including as AML/CTF Officer at two of Australia’s leading financial services organisations and a Divisional Money Laundering Reporting Officer at two of Australia’s “Big 4” banks.
In addition to Martin holding senior AML/CTF roles in Australia and Europe he has led and implemented enterprise-wide ML/TF risk assessments at three Australian organisations and led the business response for two major AML/CTF Independent Reviews conducted in accordance with the Australian AML/CTF regime.
Martin has also led the design and integration of financial crime teams during the company merger of two Australian wealth management companies and was instrumental in designing the financial crime target operating model for one of Australia’s largest banks.
Martin also has a demonstrable history of partnering with business functions and business executives to ensure risk and control environments are understood and appropriate for the business, as well as aligned to the financial crime risks faced.
Martin holds the Degree of Bachelor of Justice & Society as well as certifications from ACAMS in AML/CTF and Sanctions Compliance.