Rod Francis is a senior compliance professional with more than 30 years of experience in the Financial Services industry. At FTI Consulting, he leads the Financial Crime Compliance Solutions (“FCCS”) practice in Asia.
Rod has extensive experience in global financial service regulation, having held senior risk management positions for a number of tier one banks in Europe and Asia. Whilst having broad regulatory experience, he specializes in Financial Crime Compliance, including anti-money laundering (“AML”), economic sanctions and anti-bribery compliance (“AB&C”). Rod assists his clients in designing, implementing and optimizing their risk management programs with a focus on practical, technological and data-driven solutions based on his long career as an industry practitioner.
Prior to joining FTI Consulting in 2018, Rod spent the majority of his career in risk management-related roles for financial institutions covering a range of business sectors, products and services, including consumer and retail, wholesale, corporate and investment, wealth management and asset management banking. For the last 15 years, he has been based in Hong Kong covering the Asia Pacific (“APAC”) region. Before this, he was based in London covering Europe, Middle East (“EMEA”) and Africa for Bank of America, Morgan Stanley, Credit Suisse and the Union Bank of Switzerland (“UBS”).
Rod joined FTI Consulting from Citibank, where he was the APAC Regional Head of Anti-Money Laundering Compliance for eight years, where he was responsible for monitoring AML compliance for the global consumer bank of EMEA. In this role, Rod was the senior executive leader responsible for 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, anti-bribery and corruption.
- Led Citibank’s Financial Crime Compliance (“FCC”) function and the remediation of the firm’s AML program in APAC in response to three U.S. Consent Orders
- Led UBS’s APAC FCC and Core Compliance functions and the bank’s Global Regulatory Reporting function
- Led Credit Suisse’s FCC and Core Compliance functions in EMEA; led a re-designing of the firm’s regional FCC program with a focus on both efficiency and effectiveness
- Implemented and led Morgan Stanley’s first EMEA regional FCC and Core Compliance functions