Richard Stephen Wells

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Accord Mortgages Limited (no longer approved here)

    FRN 305936

    • [FCA CF] Manager of certification employee (1 May 2020 to 11 Mar 2024)
    • [FCA CF] Material risk taker (1 May 2020 to 11 Mar 2024)
    • SMF16 Compliance Oversight (3 Mar 2020 to 11 Mar 2024)
    • SMF3 Executive Director (9 Dec 2019 to 11 Mar 2024)
    • SMF4 Chief Risk (9 Dec 2019 to 11 Mar 2024)
    • CF1 Director (22 Jul 2016 to 8 Dec 2019)
    • CF2 Non Executive Director (9 Dec 2011 to 22 Jul 2016)
    • CF29 Significant management (23 Feb 2011 to 9 Dec 2011)
  • Norwich and Peterborough (LBS) Limited (no longer approved here)

    FRN 454265

    • [FCA CF] Material risk taker (1 May 2020 to 11 Mar 2024)
    • [FCA CF] Manager of certification employee (1 May 2020 to 11 Mar 2024)
    • SMF16 Compliance Oversight (3 Mar 2020 to 11 Mar 2024)
  • Yorkshire Building Society (no longer approved here)

    FRN 106085

    • [FCA CF] Material risk taker (3 May 2016 to 11 Mar 2024)
    • [FCA CF] Manager of certification employee (3 May 2016 to 11 Mar 2024)
    • [PRA CF] Managing a material risk taker (3 May 2016 to 11 Mar 2024)
    • [PRA CF] Significant risk taker or Material risk taker (3 May 2016 to 11 Mar 2024)
    • SMF4 Chief Risk (7 Mar 2016 to 11 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (7 Mar 2016 to 1 Jul 2018)
    • SMF16 Compliance Oversight (7 Mar 2016 to 11 Mar 2024)
    • CF10 Compliance Oversight (23 Feb 2011 to 6 Mar 2016)
    • CF11 Money Laundering Reporting (23 Feb 2011 to 6 Mar 2016)
    • CF28 Systems and controls (23 Feb 2011 to 6 Mar 2016)
    • CF29 Significant management (23 Feb 2011 to 6 Mar 2016)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF10 Compliance Oversight (18 May 2009 to 6 Oct 2010)
  • THE MORTGAGE BUSINESS PUBLIC LIMITED COMPANY (no longer approved here)

    FRN 304154

    • CF10 Compliance Oversight (18 May 2009 to 6 Oct 2010)
    • CF1 Director (31 Oct 2004 to 4 Nov 2005)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF10 Compliance Oversight (30 Mar 2009 to 6 Oct 2010)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF10 Compliance Oversight (30 Mar 2009 to 6 Oct 2010)

Recent activity

Updates to this individual's record on the FCA register.

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