Richard’s financial services career spans over 30 years and aside from his FSA and consulting experience he has held senior compliance roles at HSBC, BNY Mellon and State Street Bank and Trust Company where he was the Interim Head of UK Compliance and held SMF16 and CF10 designations. During his tenure at the FSA, Richard supervised asset managers, retail intermediaries and custodian banks. He undertook numerous ARROW visits, producing a significant number of risk mitigation programmes.
As a Managing Director within Duff and Phelps’ Regulatory Consulting team, Richard advised firms on a range of regulatory, risk and compliance issues, covering; investment firms, asset management, banks, wealth managers, brokers, custody banks, third party administrators and retail intermediaries. Whilst at Duff and Phelps Richard led s166 reviews on Client Assets and AML & Financial Crime and also shadowed s166 reviews and led remediation projects for clients. Richard has undertaken Board effectiveness reviews covering a range of financial services sectors and has gained a broad knowledge of governance and oversight frameworks.
Richard is a member of the Chartered Institute for Securities and Investment and is an active member of the Institute’s Compliance Forum Committee.