Rick joined IR+M in October 2004 and was named Chief Compliance Officer in 2005. In his role, he oversees the firm’s compliance program and works closely with the Investment Team and firm leadership to navigate regulatory requirements, manage risk, and support IR+M's fiduciary commitment to clients.
During his tenure, Rick has helped lead IR+M through significant growth, evolving regulatory requirements, and industry developments, including SEC examinations that affirmed the strength of the firm's compliance program and collaborative culture. The successful outcome validated the strength of IR+M's compliance program and highlighted the firm's culture of collaboration, diligence, and shared accountability.
Prior to joining IR+M, Rick was Manager of Fixed Income Compliance at Fidelity Investments and served as a key liaison between investment and compliance functions.
Rick earned a BS in Finance from Syracuse University, an MS in Finance from Boston College, and an MBA from the Carroll School of Management at Boston College.
Rick credits an early mentor with teaching him to look beyond the mechanics of compliance and focus on the broader purpose and impact of his work, a philosophy that continues to guide him today.
