Lori Richards's career took another significant turn when she joined JPMorgan Chase & Co. in November 2013, stepping into the role of Chief Compliance Officer for the Asset and Wealth Management global lines of business. She took charge of the worldwide compliance program in this position, highlighting her commitment to upholding compliance standards. Her duties included advising business leaders on compliance-related matters, supervising risk assessment procedures, and overseeing monitoring, testing, and training initiatives. Additionally, she maintained relationships with regulatory authorities, emphasizing her dedication to upholding the highest compliance standards. She also held the position of Conflicts of Interest Officer for the firm, where she developed and implemented a protocol for identifying and resolving conflicts of interest across the organization.
Furthermore, her influence has extended beyond the finance industry, as she has served and continues to serve on the boards of several companies, particularly in emerging sectors. As Chair of a strategy, finance, and audit committee, she has demonstrated exceptional leadership and strategic skills. Her commitment to education and community service is evident in her board membership at a rural Appalachian community college, where she also serves on its finance committee. Additionally, She has served on FINRA's National Adjudicatory Council, holding the positions of Vice-Chair and Chair. Her involvement with the SEC Historical Society as a board member and Secretary underscores her enduring connection to the regulatory field. Furthermore, Richards' active participation in various political advocacy organizations demonstrates her dedication to contributing to the broader community.
