Richard has over 15 years’ industry and consulting experience gained in wealth management, insurance and retail banking sectors. He has experience working for both small firms and multinational organisations delivering a range of compliance projects and is particularly adept at balancing commercial and regulatory objectives to deliver solutions that meet the expectations of all parties.
Before joining Bovill Newgate, Richard spent time at Prudential PLC, Ernst and Young, FTI Consulting, Santander and Barclays. Over his career he has gained experience leading projects in the following areas: investment suitability, SMCR implementation, compliance framework design, compliance monitoring, personal account dealing and running various conduct risk reviews.
In addition Richard has a Diploma in Investment Compliance and is a trained financial adviser.
