Rick is responsible for the day-to-day oversight of NISA’s Compliance Group and administers NISA’s compliance program, including policy and controls development and testing.
Rick joined NISA in 1999 and has led the Compliance Group since 2019. He previously served in various capacities within the Compliance and Operations Groups. Prior to 2019, he was a Senior Manager in the Operations Group, responsible for the day-to-day management of the Performance Measurement and Pricing Groups. Prior to this, he spent ten years in the Compliance Group, including serving as Assistant Chief Compliance Officer from 2009 to 2014. He previously 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; Real Estate from the University of Missouri – Columbia, and an MBA from Washington University in St. Louis.