Rod Francis is a Senior Managing Director and leads the Financial Crime Compliance practice in Asia at FTI Consulting. He is based in Hong Kong.
Rod is a senior compliance professional who has over 30 years’ experience in the financial services industry. The majority of his career 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 12 years, he has been based in Hong Kong covering the Asia Pacific (APAC) 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 Regional Head of Anti-Money Laundering (AML) Compliance for eight years. This role 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 U.S. regulatory commitments. During this period, he also had responsibility for economic sanctions compliance and anti-bribery & corruption.
In APAC, 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 the region as well and as a global unit for regulatory reporting. He was also the APAC Head of Anti-Money Laundering and Sanctions Compliance.
Prior to 2007, Rod was based in London covering EMEA working for tier one banks. Amongst compliance roles for financial institutions, he 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. He implemented Morgan Stanley’s first EMEA regional AML Compliance function and assisted Credit Suisse in EMEA redesigning it’s regional AML program with focus on both efficiency and effectiveness.
Rod has a broad in-depth knowledge and experience in all aspects of AML, 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. He regularly speaks at industry events including ACAMS seminars.