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 served in various capacities within the Compliance and Operations Groups. Most recently, he was a Senior Manager in the Operations Group, responsible for the day-to-day management of the Performance Measurement and Pricing Groups, including overseeing NISA’s GIPS compliance. 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.