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BasisCode Compliance offers the industry's set of integrated software to improve compliance management for asset managers, broker dealers, aggregators and compliance consultants. Its integrated software increases process visibility and policy management control while decreasing the time spent managing tasks manually. The Company also offers Testing and Risk Assessment that helps implement an audit-ready compliance program.

HQAtlanta, US

Latest Updates

Employees (est.) (Oct 2020)10
Cybersecurity ratingBMore

Key People/Management at BasisCode

Carlos Guillen

Carlos Guillen

President & Chief Executive Officer
Meredith Goode

Meredith Goode

Finance Director
Greg Trotta

Greg Trotta

Vice President, Technology Delivery
Jeremy Carter

Jeremy Carter

Director of Information Systems
Louis Giannini

Louis Giannini

Director of Technology Support
Rick Atkinson

Rick Atkinson

Chief Technology Officer & Head of Application Development
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BasisCode Office Locations

BasisCode has an office in Atlanta
Atlanta, US (HQ)
3330 Cumberland Blvd SE #500
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BasisCode Financials and Metrics

Summary Metrics

Founding Date


BasisCode total Funding

$750 k

BasisCode latest funding size

$750 k

Time since last funding

6 years ago
BasisCode's latest funding round in July 2014 was reported to be $750 k. In total, BasisCode has raised $750 k
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BasisCode Cybersecurity Score

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BasisCode Online and Social Media Presence

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BasisCode News and Updates

Barge Consulting Selects BasisCode Compliance Software Platform

ATLANTA, Jan. 22, 2018 /PRNewswire/ -- Barge Consulting, LLC (, which specializes in SEC consulting services under the Investment Advisor and Investment Company Acts of 1940, has adopted BasisCode Compliance LLC's software platform to improve and streamline...

Focus 1 Associates Joins BasisCode Advisory Council

MEDFORD, Ore. and ATLANTA, Aug. 6, 2018 /PRNewswire/ -- Focus 1 Associates LLC (Focus 1), specializing in assisting registered investment advisers with their compliance needs, has joined the BasisCode Advisory Council. BasisCode Compliance LLC ( is a leading provider of...

BasisCode Compliance Software Selected by Penn Mutual for Internal Audit Group Functions

HORSHAM, Pa. and ATLANTA, July 23, 2018 /PRNewswire/ -- The Penn Mutual Life Insurance Company (Penn Mutual) has recently selected BasisCode Compliance software to assist its internal corporate audit group in automating audit tasks, risk assessments, FORMs and certifications. Founded in...

BasisCode Blogs

Business asked to relax personal trading rules recently?

The post Business asked to relax personal trading rules recently? appeared first on BasisCode.

MGL Consulting Adopts BasisCode Compliance Software Platform

MONTCLAIR, N.J. and ATLANTA, April 8, 2020 – MGL Consulting, LLC (, a pioneer in the compliance and risk management sector, has adopted the BasisCode ComplianceTM ( software platform to serve as a compliance management system for the firm’s investment clients.…

A Message to BasisCode Compliance Clients Regarding COVID-19

Dear Client: The world looks entirely different today as we face the realities of the COVID-19 pandemic. We are struck by the way in which people have pulled together and adapted to a new environment to ensure their safety and the safety of others. At BasisCode Compliance, we know that in these unce…

How to Best Work with Compliance Consultants

Overview The following is an edited transcript of a recent NSCP-hosted webinar on how to best work with compliance consultants. Meghan Flanagan, deputy executive director for the National Society of Compliance Professionals, introduced the discussion. Participants were Carlos Guillen, CEO, BasisCode…

BasisCode Compliance Launches Consultant Marketplace Web Portal

Industry-Leading Compliance Consulting Firms Can Now Showcase Expertise, Services and Reach New Clients Inside the BasisCode Platform ATLANTA and NEW YORK, June 19, 2019 – BasisCode Compliance LLC (, developer of the industry’s leading compliance management software platform, has l…

New Governance and Audit Manager Software from BasisCode Provides Enhanced Oversight for Governance, Board and Audit Functions for Financial Firms

Enterprise Risk Managers Can Now Track Multiple Audit and Governance Functions on Single Integrated Platform ATLANTA, March 6, 2019 – BasisCode Compliance LLC (, developer of the industry’s leading compliance management software platform, has expanded its platform offerings by addi…
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BasisCode Frequently Asked Questions

  • When was BasisCode founded?

    BasisCode was founded in 2011.

  • Who are BasisCode key executives?

    BasisCode's key executives are Carlos Guillen, Meredith Goode and Greg Trotta.

  • How many employees does BasisCode have?

    BasisCode has 10 employees.

  • Who are BasisCode competitors?

    Competitors of BasisCode include Vistra Group, IncParadise and LIMRA.

  • Where is BasisCode headquarters?

    BasisCode headquarters is located at 3330 Cumberland Blvd SE #500, Atlanta.

  • Where are BasisCode offices?

    BasisCode has an office in Atlanta.

  • How many offices does BasisCode have?

    BasisCode has 1 office.