Leadership

Jean-Marc Levy

Chief Executive Officer

The compliance industry is one of the last remaining segments within the fintech space where inefficient workflows and processes are ripe for transformation by technology and data-centric solutions. I have always been passionate about building technology solutions that can transform ineffective practices, and help professionals discover new ways to become better strategic partners to their businesses.

Jean-Marc joined ComplySci as Chief Executive Officer in 2016. He has been responsible for driving the company’s strategy and growth, overseeing new product development and innovation, and expansion into new markets.

Jean-Marc is a recognized leader in the Ethics & Compliance industry, and prior to joining ComplySci, he was President of LRN, a global leading provider of ethics and compliance solutions. Previously, he served as Head of Global Issuer Services with NYSE (Intercontinental Exchange), where he led NYSE Governance Services, a provider of corporate governance, risk, and ethics and compliance tools and services, serving boards of directors and governance and compliance professionals.

Jean-Marc has a longstanding track record of building successful fast-growing information and technology businesses, and he was Chief Financial and Business Development Officer with TheMarkets.com LLC, a financial technology startup he helped build and grow to a user base of more than 2,400 institutional investment management firms worldwide, before it was sold to The McGraw-Hill Companies in 2010.

Jean-Marc holds an MBA from The Wharton School and a BS with Honors in Computer Science from Tulane University’s School of Engineering. He also serves on the Board of Advisors of Tulane University’s School of Science and Engineering.

The great thing about fact-based decisions is that they overrule the hierarchy.

-- Jeff Bezos

The best time to plant a tree was 20 years ago. The second best time is now.

-- Chinese Proverb

If you work really hard, and you're kind, amazing things will happen.

-- Conan O’Brien

Amy Kadomatsu

Chief Operating Officer

We are forging the future of RegTech, deliver best-in-class service and have a great team! This is an amazing time to be at the company - we are still small enough that everyone has real impact on the business and with Vista Equity Partners and Edison Ventures as our investors, we have the backing in place to drive our growth ambitions. Join us!

Amy joined ComplySci as Chief Operating Officer in 2018. She is responsible for ensuring customer
success and data operations teams and will lead the company’s innovation initiatives.

A serial entrepreneur, Amy was the co-founder of Instabot, an enterprise chatbot platform that allows marketers to engage and convert their users through conversational bots. Amy was also the President of ROKO Labs, a product strategy and technology consultancy that works with global companies and VC-backed startups to accelerate their businesses and deliver award-winning experiences. She remains on ROKO Labs’ board.

Amy also has substantial FinTech experience. Previously Amy was a Managing Director at S&P Global, a Fortune 500 company. Prior to that, Amy was Chief Product Officer at the TheMarkets.com, a consortium of the largest financial services firms including Goldman Sachs, Morgan Stanley and Citi, which was acquired by S&P Capital IQ for $300M.

Passionate about innovation, entrepreneurship and diversity, Amy is an angel investor with HBS NY
Angels, an advisor to start-ups, and serves as Co-Board Chair for MOUSE, a national nonprofit bringing coding curriculum and STEM programs to underserved youth. Since 2006, Amy has sponsored a scholarship for a deserving rising college student who excels in a Japanese cultural activity in honor of her dance teacher (yes, her sensei).

Respect is how to treat everyone, not just those you want to impress.

-- Richard Branson

No one has ever become poor by giving.

-- Anne Frank

When in doubt, power pose.

-- Amy Cuddy

Rob Mattes

Chief Financial Officer

ComplySci’s solid platform and excellent customer base presented a great opportunity for growth within the compliance industry. I looked forward to optimizing the SaaS business model and transitioning the business processes to position the business for exponential growth while growing the team.

Rob joined ComplySci as Chief Financial Officer in 2016. He is responsible for the company’s financial functions as well as leading the human resources, legal and administrative activities.

Rob has served in financial roles for over 25 years, the past 15 of these as a C-level executive. His
experience spans multiple industries with companies at various stages of growth. Working with the
company’s management team, he has created shareholder value by establishing a long-term plan with operational and financial targets, improving business processes, applying technology to business problems and building success within the financial, legal, and HR functions.

Most notably Rob held the position of CFO of Atari, Inc. (Euronext: ATA) during it’s transition years. Prior to that he was Co-President and CFO of the online market research platform Authentic Response, Inc, CFO of Return Path, Inc. the leader in email deliverability, and CFO of NetCreations, Inc. (NASDAQ: NTCR), a leading provider of email and online advertising services. During his time at NetCreations, he was integral in the sale to SEAT Pagine Gialle, SpA. and then again to Return Path, Inc.

Rob began his career at KPMG LLP’s New York City office, specializing in the audit of financial service companies, where he was a Manager, followed by an Asst. Corporate Controller role at W.R. Berkley Corp (NASDAQ WRB).

Rob has a CPA license issued from the state of New York and a Bachelor of Science in Accounting from Villanova University.

Great things in business are never done by one person. They are done by a team of people.

-- Steve Jobs

I find the harder I work the more luck I seem to have.

-- Thomas Jefferson

The more difficult the victory, the greater the happiness in winning.

-- Pele

Karim Taj

Chief Technology Officer

I’ve always been intrigued by the application of technology to finance. Empowering financial professionals to make better decisions based on data and improving their daily workflows allows them to generate greater value for their clients. With our focus on innovation and our desire to partner with clients, ComplySci is in a unique position to turn compliance into a competitive differentiator for all of our users.

Karim is the Chief Technology Officer at ComplySci. He is responsible for the development of new features as well as the overall performance, stability, and scalability of the ComplySci platform.

Karim has over 15 years of Software Development and Leadership experience within the FinTech space. Prior to ComplySci, Karim served as Vice President and Associate Director within the Research Team at FactSet. There, he was responsible for a suite of products which included Screening, News & Document Search, and the Calendar Application.

Karim has a Bachelors in Computer Engineering from the University of Illinois Urbana-Champaign and is also a CFA charterholder.

Learn from yesterday, live for today, hope for tomorrow. The important thing is not to stop questioning.

-- Albert Einstein

Truth is ever to be found in simplicity, and not in the multiplicity and confusion of things.

-- Isaac Newton

You can't just ask customers what they want and then try to give that to them. By the time you get it built, they'll want something new.

-- Steve Jobs

Ron Gould

European Chairman

In a world of increasingly complex, global regulatory demands, many of which carry a high price for failure, ComplySci is an extraordinarily rich platform tool that extends the reach and effectiveness of the compliance team to ensure clients have the right answer to the toughest questions when they need them. We love the challenge of helping our clients meet their regulatory obligations in the most effective ways possible by providing the right technology at the right time.

Ron is European Chairman of ComplySci, helping to guide the development of the firm’s international business and ensuring our subject matter leadership internationally. He is a well-known expert on regulation in the financial services sector in both Asia and Europe as an advisor to governments and financial sector firms. Ron was Senior Advisor to the UK financial regulator and remains a government advisor on regulatory matters.

Over a long career in investment management, Ron was one of the founding leaders of AXA Investment Managers. He ran the international investment business of Barclays Bank, helping to create Barclays Global Investors (now Blackrock). His career in the investment business has included research, portfolio management, institutional and mutual fund business development. He was the founder of one of the first international investment groups in the US, one of the first foreign-owned Trust Banks in Japan and successful investment management companies in Asia, Japan, the UK, and continental Europe.

Mr. Gould is an Economics and Asian Studies graduate of Washington University and the Harvard University Business School Agri-business Program.

As we look ahead into the next century, leaders will be those who empower others.

-- Bill Gates

Do the difficult things while they are easy and do the great things while they are small. A journey of a thousand miles must begin with a single step.

-- Lao Tzu, Chinese Philosopher

Any intelligent fool can make things bigger and more complex… It takes a touch of genius – and a lot of courage to move in the opposite direction.

-- Albert Einstein

Doug Levy

Vice President, Operations

I take pride working in an organization that constantly pushes itself to be best in class. The expectations and challenges that come along with that makes me excited to come into work each morning.

Doug joined ComplySci as Vice President of Operations in 2017. He has been responsible for overseeing the day to day operations and providing overall management of operational activities.

Doug has more than 15 years’ experience in the financial industry with experience ranging from Portfolio Management and Regulatory Reporting to Financial Technology. He joined ComplySci as part of the acquisition of Financial Tracking LLC where we held senior levels positions for over a 6 years period.

Prior to that, Doug was a Sr. Relationship Manager at Morgan Stanley with a focus on Institutional
Relationships, as well as daily portfolio architecture support for both top down and bottom up investment strategies.

Doug holds both a Bachelors’ degree from American University.

Even if you’re on the right track, you’ll get run over if you just sit there.

-- Will Rogers

Don’t find the fault, find the remedy.

-- Henry Ford

If you can't explain it simply, you don't understand it well enough.

-- Albert Einstein

Helen Lin

Vice President, Special Projects

Having worked at financial institutions, I have first-hand experience with the manual workflows compliance officers and employees must go through. I am excited about ComplySci’s technology and data solution which dramatically improves compliance monitoring and effectiveness. Just as important, I’m with ComplySci because of its amazing team!

Helen joined ComplySci as VP of Special Projects in 2018. She is responsible for driving the company’s strategic initiatives and acts as a liaison with Vista Equity and the board.

Helen is an experienced product management and business development executive. Most recently, she was a Vice President at Goldman Sachs, where she commercialized the firm’s technology and developed a retail digital investment platform. Prior to joining Goldman, Helen was a product manager at IHS Markit, where she developed a SaaS platform for compliance from ground up--KY3P. While at Markit, she also served as chief of staff to the President of the company. Helen started her career at the Boston Consulting Group and worked extensively in the Fintech space over the years with companies such as S&P, TheMarket.com, and Charles Schwab.

Passionate about creating opportunities and improving the lives of students, Helen also serves on
the board of Opening Act and Knox College, her alma mater.

Helen earned her MBA from Harvard Business School and BA from Knox College.

The impediment to action advances action. What stands in the way becomes the way.

-- Marcus Aurelius

Optimism is the faith that leads to achievement. Nothing can be done without hope and confidence.

-- Helen Keller

There is a saying: yesterday is history, tomorrow is a mystery, but today is a gift. That is why it is called the present.

-- Master Oogway (Turtle)

Charles Steerman

Vice President, Professional Services

With a personal background in both law and finance – I was attracted to ComplySci because of the synergies that existed within the compliance space. Maturing professionally within the organization, I took great pride in bringing to market compliance platforms and processes that truly elevated the surveillance capabilities of our clients, and kept them one step ahead of risk. With the infusion of new senior management and vastly improved software development capabilities, I’m more excited than ever to continue on the journey of providing clients best in class products and first class service.

Charles heads the ComplySci Professional Services team. He is charged with advising ComplySci’s largest and most complex clients on the execution of best-in-class compliance programs and practices through the implementation and applications of the ComplySci platform.

Charles joined ComplySci in 2007, and has played a number of roles within the company. Most recently, he built and led the Customer Success team. Prior to that he was the lead Solutions Consultant working alongside the ComplySci sales team to ensure alignment between sales engagements and client needs and requirements. Previously, Charles headed the Implementation Services team, charged with identifying clients’ business requirements and developing successful implementation plans.

Charles has a Bachelor of Business Administration from George Washington University and holds an MBA in finance and a JD from St. John’s University.

The harder I work, the more luck I have.

-- Thomas Jefferson

In my next lifetime I plan to control the ocean. In this life, I surf when there are waves.

-- Charles Steerman

If you tell the truth, you don’t have to remember anything.

-- Mark Twain

Heather Teicher

Vice President, Marketing

ComplySci truly cares about our clients (the Compliance Officer) and we continue to innovate to deliver increasing value for them. ComplySci offers an incredibly supportive, respectful and collaborative culture.

Heather joined ComplySci in early 2017 as VP of Marketing. She is responsible for all aspects of
marketing, including driving awareness, generating demand, building the brand, enabling sales and
supporting client retention.

Heather has over 18 years of Business-to-Business technology marketing experience. Prior to joining ComplySci, Heather held marketing leadership positions at LivePerson, Answers.com, Brandwatch and GT Nexus.

Heather holds a BS in Marketing and Information Systems from New York University’s Stern School of Business.

Argue for your limitations, and sure enough, they're yours.

-- Richard Bach

Climb up over the top, survey the state of the soul, you’ve got to find out for yourself whether or not you’re truly trying.

-- Jason Mraz

My fake plants died because I did not pretend to water them.

-- Mitch Hedberg

Garrett Verage

Vice President, Business Development

For me, it’s the ComplySci team. Throughout my career I’ve always placed a high value on the day-to-day gratification of working in an environment where the people are not only hard working and talented, but also respectful, cooperative and fun to be with. ComplySci is a group of great people who work well together and support each other to achieve our common goals and delight our clients. That’s what keeps me motivated, challenged and excited for what lies ahead.

Garrett focuses on procuring and developing strategic business relationships for ComplySci. He is
responsible for partnerships, strategic project oversight, and key account management.

Garrett has over 20 years of experience in financial services and the financial services technology space. Prior to joining ComplySci, Garrett held leadership positions at the New York Stock Exchange, TheMarkets.com and Morgan Stanley.

Garrett holds an MBA from the NYU Stern School of Business and a BA from New York University.

If there are no dogs in Heaven, then when I die I want to go where they went.

-- Will Rogers

Find something you're passionate about and keep tremendously interested in it.

-- Julia Child

Time you enjoy wasting, was not wasted.

-- John Lennon

Alberto Zamora

Vice President, Product Management

ComplySci presents a unique opportunity for anyone interested in product management to really make a positive impact on our clients’ lives in a fast paced and growing organization.  Compliance professionals are responsible for managing and analyzing large sets of complex data and are very open to working with a technology partner to create innovative solutions to important challenges.  As a product manager, nothing makes me happier!  

Alberto joined ComplySci as VP of Product in December of 2016. He has been responsible for defining, driving, and executing our product strategy, while being the voice of our clients every day, in every way.

Alberto has over fifteen years of product management experience in the financial technology space. Prior to ComplySci, Alberto served as Vice President, Product Management at S&P Global Markets Intelligence, where he led the product teams responsible for all mobile, and various core web platform, offerings.

Prior to S&P Global, Alberto was a senior member of the product management team at TheMarkets.com, playing a key role in its success, ultimately resulting in its sale to McGraw Hill.

Alberto started his career at UBS Wealth Management as a quality assurance analyst, where he was first exposed to software development. After transitioning to product management there, he hasn’t looked back!

Alberto holds a Bachelor of Science in Information Management and Technology from Syracuse University.

Risk comes from not knowing what you are doing.

-- Warren Buffett

You miss 100% of the shots you don’t take.

-- Wayne Gretzky

Try not. Do, or do not. There is no try.

-- Yoda (Jedi Master)
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