Lori Richards is deeply committed to community service, a dedication stemming from a simple desire to make a difference in the lives of others. One of her notable initiatives includes advocating for the well-being of migrants and immigrants. She actively supports a Catholic mission in Texas that provides aid to this community. Additionally, She established a scholarship program at Northern Illinois University for Hispanic and Black first-generation college students.
With a passion for creating opportunities for people in rural areas, She has also made significant contributions to Mountain Maryland. She initiated a non-profit program called "Seniors on the Move," offering free transportation to local senior centers for seniors. In addition, she established and managed another non-profit program, "Garrett County New Drivers: Lets Drive," which provides scholarships to financially needy students for driving lessons, enabling them to access better life opportunities. She believes in the transformative power of education, and this conviction is evidenced by her service on the Foundation board of Garrett College. This institution offers academic and vocational training.
In the professional realm, She is a trailblazer in securities regulatory compliance. Her articles and speeches on the subject have been widely published and recognized. Over her illustrious career, she has received numerous SEC and federal government awards, including the Sporkin Enforcement Attorney Award, Chairman's Awards of Excellence, Presidential Rank Award, and the National Society of Compliance Professionals' Hinchman Award. As the first Director of the SEC's Exam program, she championed problem-solving and compliance as a profession, leading to significant improvements in industry compliance for investor protection. Moreover, She was the first Chief Compliance Officer of one of the world's largest global asset and wealth management firms.
Her interests extend beyond her professional and community endeavors. She is keenly interested in Italian Renaissance art, a course of study that she humorously admits will probably never be completed and requires regular travels to Italy. Her areas of expertise are vast, including securities compliance, risk management, and good governance within the global regulatory environment. Her proficiency extends to finding innovative solutions and practical tools for various problem-solving needs. Her community service and her experience showcase the immense value and impact of her expertise.
Richards has made a considerable mark in the financial world over a career spanning more than three decades. With roles including Enforcement Attorney and Director at the Securities and Exchange Commission (SEC), Principal at PwC, and Chief Compliance Officer at JPMorgan, her influence on industry compliance and investor protection is significant and undeniable.
