AT A GLANCE
In this role, Richard works with clients on due diligence, risk management, operational resilience, client assets, environmental, social and governance (ESG) matters and oversight of outsourced service providers. He has over 16 years of experience in the financial services industry in a number of roles, having worked with numerous clients, including banks, asset managers, payment service providers, crypto-currency firms and peer to peer lenders.
Prior to joining Kroll, Richard worked with various asset management companies. He has worked on numerous s.166/Skilled Person (or equivalent, outside of the UK) reviews covering a wide range of issues, including, enterprise risk management, credit risk, anti-money laundering, client assets and the oversight of outsourced service providers.
Richard’s other focus areas include regulatory due diligence and operational due diligence reviews, assisting a broad range of financial services firms globally to identify sources of potential regulatory risk (typically on behalf of potential investors). Richard has also been heavily involved in advising clients on risk management frameworks, governance and compliance frameworks, and implementation of regulatory change.
Richard holds the Chartered Institute for Securities & Investment Diploma in Investment Compliance.
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