Rod Francis is a Senior Managing Director and Asia lead for the Financial Crime Compliance practice at FTI Consulting and is based in Hong Kong. Rod is a senior compliance professional with a career in the financial services industry spanning over 30 years. 25 of those years has been spent in risk management related roles covering a range of business sectors and products including Consumer/Retail, Wholesale, Corporate and Investment, Wealth Management and Asset Management Banking. For the last 14 years, Rod has been based in Hong Kong covering the Asia Pacific region and prior to this, he was based in London covering Europe, Middle East and Africa (EMEA).
Prior to joining FTI Consulting, Rod was Citibank’s APAC Anti-Money Laundering (AML) Compliance Head for eight years. This role also encompassed responsibility for AML Compliance for the Global Consumer Bank for EMEA. In this role Rod was the senior executive leader responsible for, and instrumental in, leading Citibank’s successful AML change program in response to US regulatory commitments. During this period Rod also had responsibility for Economic Sanctions Compliance and Anti-Bribery & Corruption.
In Asia Pacific, Rod also worked for UBS where he held a number of senior management positions including APAC Head of Central Compliance where he was responsible for establishing and implementing the unit in APAC as well and as a global unit for Regulatory Reporting. During his time at UBS Rod was also UBS’s APAC Head of Anti-Money Laundering and Sanctions Compliance.
Prior to 2007, Rod was based in London covering the EMEA region working for tier one banks. Amongst compliance roles for financial institutions, Rod was the EMEA Regional Head of AML and Sanctions for both Credit Suisse and Morgan Stanley, incorporating Central Compliance and Operations Compliance for each respectively. Rod implemented Morgan Stanley’s first EMEA regional AML Compliance function and assisted Credit Suisse in EMEA re-designing its regional AML program with focus on both efficiency and effectiveness.
Rod has a broad in-depth knowledge and experience in all aspects of anti-money laundering, sanctions and anti-bribery compliance, is a member of the Association of Certified Anti-Money Laundering Specialists (ACAMS) and the Director of Membership and Board Member of the Hong Kong Chapter of ACAMS. Rod regularly speaks at industry events including ACAMS seminars.