President & Chief Executive Officer
Carlos Guillen founded BasisCode Compliance in 2011, launching a cloud-based compliance software platform for the financial services industry that exponentially improved and automated compliance management controls, workflow and reporting.
“The evolution of the BasisCode platform has been primarily driven by client needs. We continuously add value for compliance professionals by dedicating ourselves to innovation and a thoughtfulness that goes into design delivery, integrations and cost efficiency.
The core team has been together for nearly 23 years. Our talented developers and compliance experts constantly enhance the product suite to reduce the risk and cost of administrating an effective compliance program.”
Mr. Guillen had decades of senior executive experience managing complex technology initiatives and compliance programs within the industry prior to forming BasisCode Compliance. He served as Chief Operating Officer at TCP Global Investment Management where he led the development and implementation of the entire Registered Investment Advisor operational and technology platform.
Prior to TCP, Carlos held various senior executive roles within ING Investment Management, including Chief of Staff of Investments and Vice President, Information Technology.
“There is nothing more satisfying then receiving an email from clients complimenting the careful thought that went into the product and the service from our support teams.”
Chief Technology Officer, Head of Application Development
As Chief Technology Officer for BasisCode Compliance, Rick is one of the founding members of the company. He drives and oversees all technical aspects of the company from development to operations.
“At its core, BasisCode was created to make a compliance team’s job easier and more efficient by streamlining processes and enacting automated checks and balances to better manage company risk. These core concepts drive the constant evolution of the app.”
Before founding BasisCode, Rick was a team leader and lead developer that built portfolio management systems, quantitative analysis apps and other financial systems for companies such as BankAmerica, ING and SunTrust.
In his free time, Rick enjoys playing guitar, listening to vinyl, and driving electric cars. He lives in the Atlanta Georgia area with his wife and two children.
Chief Financial Officer
As the Chief Financial Officer at BasisCode Compliance, Meredith assists firms with pricing models and contracts as well as client renewals.
“I love when our clients renew their existing agreements. That tells me that what we have built is helping them to work smarter, not harder.”
Prior to joining the BasisCode team, Meredith worked for McKesson where she spent 15 years serving the Physician Services Division as Vice President of Finance and Accounting. Her most recent role before leaving McKesson was serving as the Chief Financial Officer for the largest Physician group in Idaho.
In her free time, Meredith enjoys spending time at the beach, fishing, and traveling with her husband.
Vice President, Technology Delivery
As the Vice President of Technology Delivery, Greg oversees all aspects of client experience from training and onboarding to ongoing support.
“Having been developing solutions for the financial services industry since the 1980’s, it’s been really rewarding to see the impact BasisCode makes inside of each organization.”
Prior to BasisCode, Greg was a developer, applications analyst, team lead and business analyst at notable financial institutions including MetLife’s Life and Health Insurance, Pensions, and Investment Management organizations, ING Investment Management and TCP Global Investment Management.
In his free time, Greg is known as an avid fisherman and enjoys spending time with his family.
Director of Technology Support
As the Director of Technology Support at BasisCode, Louis works with CCOs of boutique and institutional investment firms to streamline their compliance programs by leveraging technology.
“It’s exciting to be part of a firm that can make a meaningful impact now as well as in the future with a solution at the forefront of the industry. Our market leading RegTech platform allows us to work remarkably well with clients to solve a magnitude of deep and complex challenges.”
Prior to BasisCode, Louis entered the tech space in a leadership role at a growth stage RegTech firm where he focused on product development for hedge funds. Previously, Louis was Director of Operations at a New York hedge fund where he was responsible for overseeing trading operations as well as contributing to the compliance efforts of the firm. Louis began his career at BNP Paribas Asset Management, where he served in an investment data capacity for fixed income and derivative securities as well as delivered presentations to institutional clients.
Louis resides in Fairfield County with his wife Lauren, son Harrison, and cat Alistair. In his free time, he enjoys reading, biking, and spending time with his family.
Product Support Specialist
Julia has over 20 years of experience in the Financial Software Industry and as a Product Support Specialist at BasisCode she is responsible for on-boarding and training the firm’s clients as well as product support.
“There’s nothing more rewarding than onboarding a client who is genuinely excited about how the system can streamline their compliance program and take it out of the dark ages!”
Prior to joining BasisCode Julia started her career in banking as a teller and worked her way up to Branch Operations Administrator. Following that, Julia worked for Open Solutions now a division of Fiserv, where she was involved in testing, implementations, product support and most recently she managed and maintained multiple applications for internally hosted Financial Institutions.
Senior Sales Executive
As a Senior Sales Executive, Leslie employs a consultative approach to sales, focusing on structuring technology solutions to address the multifaceted needs of compliance teams within the financial industry.
“Knowing BasisCode has the depth and scale to accommodate unique programs with complicated workflows allows me to sell our solution with confidence. Resolving complex issues and simplifying the jobs of compliance professionals is exceptionally rewarding.”
Prior to joining BasisCode, Leslie spent 18 years at Invesco as Marketing Communications Manager for the North American division and later joined Proposal Software as Director of Sales.
In her free time Leslie rides and trains competition three-day event horses and loves to travel with her family.
Senior Sales Executive
As a Senior Sales Executive at BasisCode Compliance, Sonya helps compliance teams understand and solve their governance, risk and compliance challenges using technology.
“There’s nothing better than working with a firm that is looking for a complete solution to their compliance needs. It’s so rewarding to get to that ‘a-ha’ moment when they grasp the attention to detail that’s been applied across the platform and it always reinforces that we’re doing it right.”
Prior to joining the BasisCode team, Sonya served as a Regional Sales Manager at RIA in a Box and as a Senior Business Development Manager for NSCP (National Society of Compliance Professionals). Prior to NSCP, she began her career at NRS (National Regulatory Services) where she worked as a Senior Business Development Manager.
In her free time, Sonya enjoys spending time gardening, hiking, and working on the family holiday light display with her husband and two young children.