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 at which he was the interim Head of UK Compliance.
Richard has gained significant s166 knowledge and experience both as a regulator and consultant. As a Managing Director within Duff and Phelps' Regulatory Consulting team, Richard led s166 reviews on Client Assets and AML & Financial Crime. Richard's expertise means that he is frequently called upon by clients to assist them prepare for s166 reviews, advise them during reviews, and provide guidance in responding to skilled person reports. He has also shadowed s166 reviews and led remediation projects for clients.
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, which he presented to Boards and overseas parent companies. Following a career which combined industry and regulatory experience, Richard is ideally placed to assist us with Board level work to improve performance. His experience enables him to carry out very realistic mock regulatory interviews preparing senior managers for PRA/FCA SMF interviews. He has an empathetic coaching style and this helps him to deal with the stresses that can arise between conflicting priorities.
Contact BP&E Global to discuss your consultancy and coaching needs.
BP&E Global - because Board performance matters