Richard Caruso

With over 20 years of experience in the financial services industry, I currently serve as the Vice President of Compliance and Supervision. In this role, I am responsible for overseeing the firm's compliance program and ensuring that all operations align with regulatory standards while promoting a culture of transparency, accountability, and ethical behavior.

Throughout my career, I’ve developed a deep understanding of the complexities surrounding regulatory requirements, risk management, and operational efficiency. I work closely with various departments to design and implement robust compliance frameworks, conduct risk assessments, and provide strategic guidance on regulatory matters. My role also involves supervising internal policies, maintaining strong relationships with regulatory bodies, and ensuring that the firm remains adaptable to ever-evolving industry standards.

I am passionate about fostering a culture of compliance that not only meets the letter of the law but also supports business growth by promoting best practices and mitigating risks. My commitment to continuous learning and development in the compliance space enables me to stay ahead of regulatory changes and provide valuable insights to leadership and staff alike.

I offer agency support to producers and independent producers (brokers) that represent Barnum Financial Group Tri State, a General Agency of Massachusetts Mutual Life Insurance Company (MassMutual).