FacultyFaculty/Author Profile
Lori A. Richards

Lori A. Richards

J.P. Morgan & Co
Chief Compliance Officer, Asset Management Unit
New York, NY, USA


Lori Richards is Chief Compliance Officer for JPMorgan Chase & Company’s Asset Management line of business, responsible for overseeing the compliance program for Asset Management’s Global Investment Management and Global Wealth Management businesses. She is also a member of the Asset Management Operating Committee.   She has held this role since November, 2013.

Richards is a former Principal with PricewaterhouseCoopers Financial Services Regulatory practice, where she assisted financial services clients, including mutual fund companies, hedge funds and private equity funds, broker-dealers, banks and others, with regulatory and compliance matters, and focused on compliance with federal securities laws.

Before that, she spent 24 years as a regulator with the U.S. Securities and Exchange Commission. She is the former Director of the SEC’s compliance oversight program — the Office of Compliance Inspections and Examinations (OCIE). As the first director of OCIE, a position she held for 14 years, Richards built and led the SEC’s nationwide examination oversight program for registered broker-dealers, investment advisers, investment companies, hedge funds, transfer agents, clearing agencies, trading markets and self-regulatory organizations.

Prior to that, Richards was the senior adviser to the SEC's Chairman on regulatory, policy and operational matters. And before that she served as the Associate Regional Director for Enforcement in the SEC’s Los Angeles office, responsible for conducting enforcement investigations and litigation, and served in other roles in the SEC's Division of Enforcement.

Richards has been at the forefront of securities regulatory compliance. She has received numerous honors and awards for distinguished government service at the SEC, and is a frequent industry speaker and author of articles on compliance, fraud, and fiduciary responsibility.

She holds a law degree from American University, Washington College of Law, and a Bachelor of Arts degree in political science from Northern Illinois University.

Lori A. Richards is associated with the following items:
Web Segment  Web Segment Compliance and Inspections - Investment Management Institute 2017, Monday, March 27, 2017
MP3 Audio  MP3 Audio Compliance and Inspections - Compliance and Inspections, Monday, March 27, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance and Inspections - Compliance and Inspections, Monday, March 27, 2017
On-Demand Web Programs  On-Demand Web Programs Investment Management Institute 2017, Thursday, March 30, 2017, New York, NY
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