With decades of technology, financial services and compliance expertise, our team will efficiently help you transform your manual and/or disconnected processes into our fully integrated platform enabling your team, regardless of how large or small, optimize its program quickly and completely.
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.
Over 20 years of Finance and Accounting executive leadership.
Meredith spent most of her career working in the healthcare industry. Before joining BasisCode Compliance, Meredith had a long tenure with McKesson in their Physician Services Division. Her most recent role was CFO for the largest multi-specialty practice in Idaho. Before taking on that role, Meredith was the CFO for McKesson’s Multi-Specialty division, managing a client-based revenue stream of $300 million. She also managed 15 employees from coast to coast. Meredith achieved what she set out to do after attending Louisiana State University, and that was to become the CFO of a large company. She did just that.
When Meredith is not working, she enjoys the beach and traveling to adventurous places with her husband.
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.
Director of Information Systems
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.
Senior Software Engineer
Over 20 years of technical experience in software development.
Prior to joining BasisCode Compliance, Joe worked with the team at ING Investment Management where they created portfolio management, credit research platforms that is currently used around the globe. He also worked as a consultant at IBM.
Joe has over 20 years of technical experience in software development in various industries including finance, security, legal, e-commerce, and marketing.
Director of Technology Support
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 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.
Over 12 years enterprise solution sales experience within the financial services industry.
Sonya brings over 12 years’ experience to the BasisCode sales team, with a heavy concentration on SaaS solutions for the financial services industry. As a Senior Sales Executive, Sonya is focused on supporting organizations throughout the Northeast, using a consultative sales process, to solve for operational risk management challenges. 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, Sonya spent ten years at NRS (National Regulatory Services) where she served as a Senior Business Development Manager and Sales Engineer.
Product Support Specialist
Over 20 years of experience in the Financial Software Industry
Julia is responsible for on-boarding and training the firm’s clients as well as product support. 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.