Richard is the firm’s Chief Compliance Officer (CCO) and Chief Financial Officer (CFO) as well as a shareholder and Managing Director. As CCO, Richard is responsible for the overall design and maintenance of the firm’s compliance program.
In addition, he ensures Northeast’s reporting complies with regulatory requirements and provides executive leadership and strategy to compliance, risk management, control and operations of the firm. As CFO, Richard manages the firm’s finances, bill paying and financial reporting. He assesses financial risks and helps establish and monitor the financial goals, objectives, and budgets of the firm.
Richard has over 35 years of experience in the financial services industry including portfolio accounting, financial reporting, project management, operations management and tax compliance. Prior to joining the firm, he was the Director of Tax, IRAs, and Benefit Payment Processing at Investors Bank & Trust Co., Inc. and was a Senior Project Manager at BankBoston.
Richard lives in Seekonk, Massachusetts with his family and has been with Northeast since 2008.
Bryant University, M.S.T. – 2007
University of Rhode Island, M.B.A. – 1992
Providence College, B.S. – 1985