Helen Richards, Compliance Officer & Money Laundering Reporting Officer - Pemberton AM

Helen Richards

Compliance Officer & Money Laundering Reporting Officer

Helen has over 23 years' asset management compliance experience.

Helen joined Pemberton as a Partner in 2015 and is responsible for liaison / oversight of compliance for the Pemberton Group. Helen is responsible for European policies and procedures, maintaining a monitoring plan, a business risk assessment and overseeing an AML/CTF programme.

Helen was formerly Compliance Officer and Money Laundering Reporting Officer of Neuberger Berman Europe Limited where she worked for 8 years. Helen was responsible for compliance for the London office and various European branches and rep offices. She was responsible for European policies and procedures, monitoring and coordinating various regulatory visits; she also liaised with the various fund trustees and directors.

Prior to Neuberger Berman, Helen worked at Threadneedle Investments for 6.5 years and prior to that at Henderson Global Investors, she also worked at Jardine Fleming in Hong Kong.

Helen graduated from the London South Bank University with a BA (Hons) Business Studies and is a qualified Chartered Secretary (ACIS).

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