With decades of technology, financial and compliance expertise, our team can quickly get you up to speed transitioning manual processes to our automated platform. Our seasoned staff has decades of experience designing, developing and managing enterprise compliance systems for a broad spectrum of clients, from the leanest to the largest.
President & Chief Executive Officer
Over 20 years of senior executive and technology management experience in the financial services industry.
With decades of senior executive-level experience managing complex technology-enabled initiatives and compliance programs within the financial services industry, Carlos Guillen founded BasisCode Compliance in 2011. Prior to forming BasisCode Compliance, Carlos served as Chief Operating Officer at TCP Global Investment Management. There, he developed and implemented the entire Registered Investment Advisor operational and technology platform. Prior to TCP, Carlos held various senior executive roles, including Vice President, Chief of Staff and Vice President, Information Technology with ING Investment Management. Carlos has extensive experience integrating multiple operational and technical environments crossing organizational and geographical boundaries as well as the realignment of investment teams, investment workflow and technology solutions.
Carlos holds an MBA from the University of Georgia, Terry College of Business.
Chief Operating Officer
Over 30 years of experience in a cross section of industries.
Taryn has over 30 years of financial services experience in investment management, private banking, trust, custody, and the insurance sectors. She has held both line and staff management positions, resulting in a broad organizational perspective and belief that building strong teams enables companies to translate goals into action.
Taryn has held senior positions at a number of global financial institutions including ING Investment Management, Union Bank of Switzerland, U.S. Trust and Bankers Trust as well as with several financial industry-focused consulting firms. While Taryn’s primary area of expertise is in global financial services, she has also served clients in the not-for-profit, hospitality, healthcare, local government, and communications industries. She earned a BA cum laude from Union College and a MBA from the Stern School of Business at New York University.
Chief Technology Officer & Head of Application Development
Over 20 years providing business solutions in the technology industry.
Rick has worked in the software development field for his entire professional career. He has exceled in business automation via technology. In his prior roles, Rick was a development manager where he led small, focused teams that have produced mission critical applications in a variety of fields. He has worked with companies such as ING Investment Management, Bank America, SunTrust and Matria Healthcare.
He has architected, developed and managed teams that have built several financial and healthcare applications in the areas of portfolio management, risk analysis, and quantitative modeling and disease management.
Rick earned his BBA magna cum laude from Georgia State University.
Vice President, Technology Delivery
Developing solutions for the financial industry since 1982.
Greg was a developer, applications analyst, team lead and business analyst at MetLife for their Life and Health Insurance, Pensions, and Investment Management organizations. Between 2003 and 2010, Greg was a Senior Application Analyst at ING Investment Management supporting the Front Office systems, and a member of the Project Management Office where he participated in and helped manage several consolidation and large scale outsourcing projects impacting Front, Middle, and Back Office operations.
In 2010 until 2011 Greg joined TCP Global Investment Management to develop and support the technology processes for the Registered Investment Advisor.
Senior Software Engineer
Over 20 years of technical experience in software development.
Prior to joining BasisCode Compliance, Jeremy worked with the team as Application Manager for over 7 years at TCP Global Investment Management and ING Investment Management where they created portfolio management, credit research platforms that is currently used around the globe. He also developed an end-to-end system for Senior Bank Loans management, trading, and research.
Jeremy has over 20 years of technical experience in software development in various industries including finance, health care, and computerized maintenance management.
Product Support Specialist
Experienced financial services professional skilled in operations and compliance technology solutions.
Louis is responsible for onboarding and training the firm’s clients as well as product support. Louis started his career in operations at a major institutional asset management firm. Following that, he played a key role at a multi-strategy hedge fund where he focused on the operations and compliance efforts of the firm in addition to the implementation of a new risk management system. Most recently, Louis played an integral role in an onboarding and product sales capacity at a compliance firm where he focused on the application of compliance solutions for hedge fund, private equity, and broker-dealer clients.
More than 20 years experience in financial service industry
With decades of experience in the financial services industry, Joe Daigle previously worked as financial consultant and securities trader for S&P 100 firms. He has also worked in sales for financial services software companies that provide financial planning, portfolio management, rebalancing/trading and compliance solutions. He has a keen understanding of the daily practice management challenges that financial firms face and the solutions firms need to solve them. This includes a deep understanding of the complex business models of RIA’s firms, independent broker-dealers, custodians and banks as well as the regulatory solutions financial firms need to remain compliant.
Kevin S. Berardino
More than 25 years of technical sales and marketing experience within the financial and insurance industries
Kevin brings more than 25 years of technical sales and marketing experience to the BasisCode sales team. Prior to joining BasisCode, Kevin was Director of Strategic Accounts at Proposal Software for over six years. Before joining Proposal Software, he was Director of Global Sales for Enterprise Incentive Software. Kevin has also worked for large regional software and network integrators.
Kevin graduated with a B.A. degree in Psychology with a concentration in Marketing from Western New England University in Springfield Massachusetts.
More than 25 years sales and marketing experience within the financial services industry
Leslie brings more than 25 years experience to the BasisCode sales team, with vertical expertise in the financial services industry. As Director of US Markets for BasisCode responsible for developing the Southern region, Leslie offers a consultative approach to sales. Prior to joining BasisCode, Leslie was a leading member of the sales team at Proposal Software, Inc.(PSI). Prior to PSI, Leslie spent more than 18 years at INVESCO, where she managed marketing and communications teams for both the institutional and retirement divisions.
Leslie graduated with a B.A. degree in political science and history from Duke University in Durham, North Carolina.