Speaking at
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Day 1 at 14:10
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12:00
About the Speaker
Seventeen years of financial service and markets experience spanning sales, trading and compliance risk management. Oversees and manages regulatory compliance for the firm’s Global Markets operations within the UK. Responsible for building and maintaining a robust compliance oversight program spanning multi-asset agency and principal trading desks, regulated trading venues, securities financing, and other financial services activity (e.g. research and treasury). Richard leads a team of highly experienced and tenured compliance professionals, providing strategic direction, guidance, and oversight to ensure the firm’s operations in global markets are compliant with all laws, regulations, and internal policies.