Having joined NISA more than 25 years ago, Rick became chief compliance officer in 2019. He administers NISA’s compliance program, which includes both firm-wide policy compliance and management of firm regulatory requirements.
Before becoming chief compliance officer, Rick was a senior manager in the Operations Group, where he was responsible for the day-to-day management of the Performance Measurement and Pricing Groups, and spent 10 years serving various roles in the Compliance Group, including assistant chief compliance officer from 2009 to 2014. He also served as a member of a GIPS working group tasked with developing a Guidance Statement for the Global Investment Performance Standards (GIPS®).
Rick earned a BSBA with an emphasis in finance and banking from the University of Missouri-Columbia and an MBA from Washington University in St. Louis.