Richard joined Complyport in January 2022 as Director of Authorisations, ensuring delivery of first class service and support to clients seeking FCA approval for Authorisation, Variation of Permission and Change in Control.
Prior to joining Complyport, Richard spent in excess of 20 years working for UK’s conduct regulator for financial services firms and financial markets, the FCA, including as a Manager of the Authorisations Division, leading amongst others the Change in Control and Passporting teams. Before that, Richard had been a Manager of the FCA Complaints Scheme and the Regulatory Decisions Committee (RDC) team during which he held lead responsibility for managing the FCA’s relationship with the Independent Complaints Commissioner. Prior to that, Richard had been a Manager of the FSA (FCA predecessor) supervisory Triage team, during which he was responsible for risk-assessing and prioritising issues affecting retail financial firms. Richard also lead the FCA’s passporting team and helped the UK Regulator navigate the aftermath of the UK’s Brexit referendum.
Before that Richard worked for nine years at the Insurance Brokers Registration Council.
Richard is an Associate of the Chartered Governance Institute and holds a Graduate Diploma in Law.