In the News: InvestmentNews: SEC steps up intensity of cybersecurity oversight
EJ Yerzak highlights the importance of cybersecurity in the financial industry and the SEC’s efforts to enhance oversight in this area....
Compliance Solutions Strategies (CSS) is a trusted global RegTech partner that combines innovative technology-driven solutions to support financial services firms in navigating a clear and strategic path through the complex and fragmented global regulatory landscape. Our solutions and services help clients meet regulatory requirements while optimizing compliance data, operations and technology.
The only fully integrated Compliance-as-a-Service provider of its kind, CSS uniquely brings together innovative SaaS-driven technology solutions, market-leading regulatory expertise and white-glove managed services to support the investment management community.
The CSS SaaS-based platform supports global regulatory compliance across fund reporting, transaction reporting, investment monitoring and compliance management by leveraging a strategic approach to regulatory data management centered on an RBOR (Regulatory Book of Record).
CSS’s in-house team of regulatory experts anticipate change and take proactive approaches to compliance. This team, comprised of former Chief Compliance Officers, regulators, regulatory attorneys, regulatory specialists and technical and data analysts, have considered the industry’s challenges in bridging the gap between the regulations and practical application.
CSS provides specialized regulatory expertise and customized, high-value services, from data management to regulatory filings, technology, hosting services, infrastructure, and security. We walk the regulatory path with our clients, enabling them to focus on their core business while we manage the end-to-end reporting process, scale to meet new market and business needs, and reduce operating cost and risk.
CSS solves your top compliance challenges:
How can you prepare for what’s next on the regulatory horizon?
How can you derive more enterprise value from managing regulatory data strategically?
How can you achieve more with the compliance resources you have?
How can you scale to meet your growth expectations?
How do you mitigate operational and regulatory risk?
Our top priority at CSS continues to be building a strong community — bringing together our clients, our regulatory experts and industry collaborators.
of TOP 20
of TOP 10
650+ financial firms trust CSS as a strategic partner capable of delivering tactical solutions in response to regulatory deadlines while supporting their long-term growth expectations.
CSS works with Tier 1 firms to SMBs, including global asset managers, banks, broker-dealers, family offices, fund administrators, hedge funds, insurance companies, investment advisers, ManCos, pension funds, private equity firms, sovereign wealth funds and wealth managers.
Join the CSS Compliance Community.
CSS’s platform solutions and services are enriched by a vast ecosystem of partners and collaborators:
Legal Information Providers:
Mark Evans founded Confluence in 1991 with a vision to revolutionize the asset management industry through technology innovation and data management automation. Under his leadership, Confluence has grown to be recognized as a global leader delivering solutions that turn investment data into financial intelligence and are distributed to the world. In 2011, Mark received the Ernst & Young Entrepreneur of The Year® Western Pennsylvania and West Virginia Award in the Technology category. The award recognizes outstanding entrepreneurs who demonstrate excellence and extraordinary success in such areas as innovation, financial performance and personal commitment to their businesses and communities. In addition to his role with Confluence, Evans is a dedicated community leader who passionately promotes business growth, supports entrepreneurialism in connection with local universities and the vitality of the non-profit community. Evans studied Computer Science at Indiana University of Pennsylvania and the University of Pittsburgh.
As President and Chief Operating Officer of Confluence, Todd is responsible for ensuring operational excellence, optimizing revenue generation across North America and Europe and evaluating growth potential in adjacent geographic markets globally. A 20-year financial services technology industry veteran, Todd provides strategic and operational direction while focusing on global expansion and ensuring operational accountability. He leads the company’s operations functions as well as market-facing activities which include sales, account management and marketing.
Todd has an accomplished track record of helping financial services firms of all sizes adopt innovative solutions to drive revenue. Prior to joining Confluence, he was executive vice president of SunGard’s Wealth Management business, where he was responsible for the sales strategy and delivery of integrated wealth management solutions. Prior to joining SunGard, Todd was a principal of Mid Atlantic Institutional Shares (“MAIS”), where he was responsible for the firm’s flagship mutual fund trade-routing platform. MAIS was acquired by SunGard in 2002. He has also served as a senior consultant for the Economic and Financial Consulting division of Arthur Andersen LLP.
As Chief Financial Officer for Confluence, Winston is responsible for overseeing the company’s accounting and finance operations. Winston has led Confluence to successfully complete six acquisitions to date: Data Agent in 2013, Orfival in 2014, StatPro Group in 2019, and Fundpeak, Investment Metrics, and Compliance Solutions Strategies in 2021.
Joining the firm’s former San Francisco office in 2011, Winston has a strong background in corporate strategy and analysis, management and business development and venture capital. He previously worked at US Bancorp Piper Jaffray Ventures and Broncus Technologies, Inc. As a Sloan Fellow at the Stanford University Graduate School of Business, Winston earned a Master of Science degree in Management. He also holds a Master of Science degree in Mechanical Engineering from Stanford University, and a bachelor of Arts degree in Chemistry from Williams College.
Sanjoy is responsible for the overall corporate strategy, ensuring alignment of the solutions that we bring to market to the needs of our clients and the markets that we serve. Sanjoy brings with him over 30 years of strategic leadership experience in the technology service space, most recently in the CSO role at Investment Metrics. He was previously CTO of RogersCasey Inc. for 4 years prior to founding Investment Metrics in 2010.
Sanjoy holds an MBA in Finance from Pace University, New York and a Bachelor of Engineering in Electronics degree from India.
Chris is responsible for revenue growth, strategy, and sale execution across all of Confluence’s products and services. He joined Confluence from ISS Market Intelligence, where he was Global Head of Sales and Client Engagement. Chris has over 20 years’ experience and a track record of setting strategic direction and managing integrations for large financial services firms. He will be accelerating the company’s growth given client and industry demand for better data transparency and insights. Prior to ISS, Chris was Chief Revenue Officer for BrightScope.
As Chief Legal Officer at Confluence, Alison oversees all legal matters, drives corporate governance, and advises company leaders and decision-makers on critical legal matters, including complex corporate transformations and significant issues affecting Confluence’s global operations.
Alison joined Confluence in 2022 and brings an accomplished background in advising financial technology firms of all sizes. Prior to joining Confluence, Alison was General Counsel, Americas at OSTTRA Group Ltd., the joint venture between CME Group and IHS Markit. Before OSTTRA and its predecessor entities, Alison was a Counsel at Lowenstein Sandler and an Associate at Milbank, specializing in mergers and acquisitions and corporate governance matters. She graduated from Cornell Law School, where she was a Managing Editor of the Cornell Law Review, and from Princeton University.
With over two decades of human resources leadership experience, Kirsten Garrett is an accomplished human resources executive with a proven track record of building teams, implementing scalable processes, being an agent of change and creating operational efficiencies. An integral part of the HR and business unit leadership team, she works across all levels of management to strategically align human capital with business initiatives and provide superior results.
Joining the firm in 2023, Garrett brings to Confluence proven abilities in talent management, talent acquisition, strategic planning, organizational effectiveness, DEI, compensation, M&A, and workforce analytics. She previously worked at QGenda as Chief People Officer after holding HR-leadership roles at Fiserv and Raymond James. Garrett has a B.A. from the University of Maryland and an MBA from Colorado State University.
As Chief Technology Officer, Chris is responsible for setting the technology strategy and roadmap across platforms and products, as well as the company’s internal technology. He oversees the global architecture team and works closely with Confluence’s product and engineering leadership to ensure the alignment of product and technology initiatives. His accomplishments include defining the architecture for the Unity® platform and leading the transition to web-based software services through the Unity NXT™ SaaS platform architecture. Chris holds a bachelor of Science in Computer Science & Mathematics from the University of Pittsburgh.
As Chief Transformation Officer & Head of Client Experience, Katie is responsible for driving the successful integration of the companies post-merger-&-acquisition and the business model transformation for Confluence, while also responsible for client success across all of Confluence’s professional services and managed services offerings. Katie was most recently in a Senior Product Strategy role responsible for identifying market trends and bringing these insights to the internal product and market strategy teams for execution. She has over 20 years of experience in the financial services industry spanning asset management, wealth management and financial technology. Before joining Confluence, Katie served as Global Solution Manager at SS&C Technologies. Prior to that, she spent ten years at UBS Global Asset Management, where she served as UK Head of Performance. Katie earned a bachelor’s degree in Economics from Babes-Bolyai University in Romania.
As Managing Director of Compliance, Reporting & Services, Tom handles Confluence’s global product development and strategy as it relates to compliance, reporting, and services. Since joining Confluence in 2007, he has held several roles including Global Head of Regulatory Reporting Solutions and positions in the Product Design and Services divisions. Tom earned a bachelor’s degree in Finance from the Tepper School of Business at Carnegie Mellon University.
Damian heads Confluence’s Analytics Division, responsible for the strategy and execution of its performance, risk and analytics product offerings. He brings 26 years of experience in FinTech analytics, having worked with hundreds of Wall Street’s most successful investment managers in risk management, performance attribution and factor analysis. Previously, Damian has held product and commercial executive roles with Investment Metrics, Style Analytics and StatPro. He co-founded Investor Analytics in 1999 as Wall Street’s first cloud-based, multi-asset risk provider and served as that company’s CEO until he sold it to StatPro in 2016 and became their Global Head of Risk.
Damian received his undergraduate degree from the University of Pennsylvania in Math and Physics, and his Ph.D. in nuclear astrophysics while working on correlation functions at the National Superconducting Cyclotron Laboratory at Michigan State University.
Clinton is responsible for Confluence’s global product development and strategy related to data services. Clinton has over 20 years of experience in the financial services sector having spent 17 years at UBS Investment Bank in various COO roles. He is a qualified South African and British Chartered Accountant, having completed his training with Deloitte. He has a bachelor of Commerce degree from the University of the Witwatersrand in South Africa.
EJ Yerzak highlights the importance of cybersecurity in the financial industry and the SEC’s efforts to enhance oversight in this area....
Greg Hotaling, Confluence's Regulatory Compliance Manager, offers his insights into the U.N.'s IPCC Assessment Report, produced in March....
Pittsburgh, PA, April 24, 2023 – Confluence Technologies, Inc. (“Confluence”), a global software provider helping the investment management industry......
Tom Pfister, Confluence’s Managing Director of Compliance, Regulatory and Reporting, speaks with Chris Hamblin, WealthBriefing, about how quickly regulatory technology......
Each day, CSS seeks to operate in a manner which reinforces its steadfast commitment to social responsibility. Our culture and values are rooted in service, integrity, and personal accountability. As a leader in providing regulatory compliance solutions, we assist our clients in adhering to the strict operating and transparency standards mandated by global regulators. We recognize the extent to which our business practices can have a positive global impact and accept the accountability which this conveys.
We believe it is our responsibility to protect, support, and develop our team members. We are focused on providing career opportunities, resources, training and development to our global workforce and maintain ongoing programs related to workplace safety, wellness, and diversity and inclusion.
CSS is committed to doing the right thing, conducting our business in a legal, ethical, and trustworthy manner. At all times, we will operate in a manner to uphold our regulatory obligations and comply with the letter and spirit of our business policies. We cannot and will not assist any client in deception or omission in carrying out regulatory compliance functions, reporting or controls.
CSS seeks to be a role model and pillar of support to the local communities where we live and work. As part of this commitment, we partner with local organizations in their efforts to improve lives and society as a whole by engaging in community service activities and philanthropy.
Like all companies, CSS has a vital responsibility to protect our planet. Although our facilities and operations have a relatively limited ecological footprint, we are continually working to prioritize operational eco-efficiency and maintain sustainable workspaces with the support of suppliers and vendors who share this same commitment.
Take the first step on your global regulatory compliance journey. A CSS regulatory expert will be in contact with you within the next business day.
You may unsubscribe at anytime with our simple “unsubscribe” link at the bottom of each communication. Please see our privacy notices below for further information, including a list of affiliates covered by this consent.