Rod is a Special Advisor to Effecta Compliance and brings over 25+ years of finance, governance, risk and compliance, and regulatory experience having worked in the Financial Services Industry across sectors such as Institutional Broking, Retail Broking, Pension Funds, Corporate Finance and Retail Banking.
Rod has held senior management and Board positions at FCA regulated firms, in roles such as Chief Executive Officer, Compliance Director, MLRO and Finance Director. Rod has been a qualified accountant for 25 years.
Whilst Rod’s knowledge and experience covers a broad scope of topics in the field of governance, risk and compliance, his specialist expertise is in prudential rules and regulations. This includes, amongst other areas, the Investment Firm Prudential Regime (IFPR), Capital Requirements Regulation (CRR), and Client Money and Assets (CASS). Rod has extensive knowledge and experience in drafting and implementing ICAAP/ICARA documentation, Liquidity Risk Management Frameworks, Enhanced Risk Registers, Integrated Regulatory Financial Forecast Models, Client Money Frameworks and Risk and Controls Rules Mapping, Capital and Liquidity Monitoring, IFPR Group Consolidation, and Treasury Management.