Headshot of Richard (Rick) Knaub

Chief Compliance Officer and Senior Counsel

Richard Knaub


Richard Knaub joined 400CM in November 2020 and is currently Chief Compliance Office and Senior Counsel. In this capacity he is primarily responsible for overseeing the Firm’s compliance program as well as leading counsel to capital markets and private credit structuring, government and regulatory policy and strategic initiatives. Prior to 400CM, Rick was a Senior Vice President at Bank of America where he held executive roles in the Chief Administrative Office, Global Strategy, Global Risk, and Legal Departments. Prior to Bank of America, Rick was Senior Counsel at Barclays where he advised global business stakeholders on securities, investment advisory, and banking regulations and advised on SEC reporting obligations, including Sarbanes Oxley (Sox) Compliance. Rick holds a B.A. in Finance from Temple University and J.D. from Pepperdine University.


  • Cybersecurity Committee
  • Operating Committee