Richard Rick Simek CPA
About
Richard Rick Simek CPA is from Chicago, Illinois, United States. Richard is currently Chief Compliance Officer at CastleArk Management, LLC, located in Chicago, Illinois, United States. Richard also works as Chief Operating Officer and Chief Compliance Officer at Castleark Management LLC, a job Richard has held since Jan 2012. In Richard's previous role as a CFO and Senior Managing Director of Fund Adminstration at Destra Capital, Richard worked in until Jan 2012. Prior to joining Destra Capital, Richard was a Senior Manager at Ernst & Young and held the position of Senior Manager. Prior to that, Richard was a Senior Manager at KPMG from Jan 1992 to Jan 1999.
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Richard Rick Simek CPA's current jobs
Designed, developed and executed business strategy which includes CIT, separate account, hedge fund and mutual fund platforms. Responsible for the design and execution or all operational process and procedures for an institutional asset management firm that trades both US and international equity and fixed income securities. This includes all portfolio management, trading and middle and back office operations. • Designed and implemented firm wide Sharepoint platform, compliance monitoring program, Business Continuity and Cybersecurity Governance Plan and modernized IT systems and processes (SAN, externally hosted all critical systems). • Redesigned business processes to implement a scaleable platform that can double the asset size and product offerings without expanding current cost levels using outsourced solutions and enhanced technology. • Created and launched Collective Investment Trust (CIT) platform. • Develop, model and implement new products for defined contribution market including sub advised US and Canadian mutual funds, UCITs and Unified Managed Account platforms. • Developed and implement firm wide Corporate Governance Structure. • Designed and implemented Management Information System (MIS) for reporting and monitoring of organizational performance metrics (KRI, KPI) via SQL. • Designed, implemented and oversight of operational risk management program and assist legal activities: letters of agreement, contracts, product offering documents and agreements with external service providers. • Responsible for the firm’s compliance program, compliance manual and code of ethics as defined by the firm’s Corporate Governance Structure. • Performed annual compliance training and Rule 206(4)-7 annual review. • Managed SEC Examination in 2015. SEC Compliance Outreach participant in 2014 and 2017.