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.”
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.
Vice President 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.