About Compliance Solutions Strategies

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.

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Who We Are

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Our Difference

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Our Clients

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Partners

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Leadership

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Newsroom

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Corporate Social Responsibility

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Who We Are

A market leader in global regulatory compliance

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.

RegTech

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).

Expertise

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.

Managed Services

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.

What Makes Us Different

CSS helps financial services firms move from a tactical to a strategic approach to compliance at their own pace and at their own starting point
Key differentiators: 1. Global regulatory expertise, 2. breath, depth and scalability, 3. leading product innovator, 4. software and services

  • Comprehensive end-to-end Compliance-as-a-Service (CaaS) platform
  • Diverse investment management client base
  • Global footprint in coverage and expertise
  • Proprietary data management engine – Regulatory Book of Record (RBOR)
  • Resilient business model as both a product innovator and active investor

CSS solves your top compliance challenges:

Regulatory Change

How can you prepare for what’s next on the regulatory horizon?

Data Management

How can you derive more enterprise value from managing regulatory data strategically?

Total Cost of Ownership

How can you achieve more with the compliance resources you have?

Scalability

How can you scale to meet your growth expectations?

Risk

How do you mitigate operational and regulatory risk?

Our Clients

Building and supporting the CSS Compliance Community

Our top priority at CSS continues to be building a strong community — bringing together our clients, our regulatory experts and industry collaborators.

17

of TOP 20

Asset Managers

6

of TOP 10

Hedge Funds

13

Trillion

in AUM

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.

Read some of our client success stories

Partners

We collaborate with like-minded market leaders

CSS’s platform solutions and services are enriched by a vast ecosystem of partners and collaborators:

Channel Partners:

Legal Information Providers:

Data Providers:

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Data Distributors:

Iress Logo
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Industry Partners:

Join the growing network of companies who partner with CSS.

Partner with CSS

Our Leadership

The CSS Leadership Team includes professionals with extensive experience in building world-class technology and services businesses to solve our clients’ greatest challenges

Mark Evans
Chief Executive Officer and Founder

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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.

Todd L. Moyer
President and Chief Operating Officer

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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.

Frederick Winston
Chief Financial Officer

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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 Chatterjee
Chief Strategy Officer & Managing Director of Investment Insights & Research

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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 Riggio
Chief Revenue Officer

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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.

Alison S. Fraser
Chief Legal Officer

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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.

Kirsten Garret, SPHR
Chief Human Resources Officer

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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.

Phillipa McLune
Chief Client Officer

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Phillipa is responsible for client success across all of Confluence’s professional services and managed services offerings. Phillipa joined Confluence through its acquisition of Investment Metrics and has over 25 years’ experience delivering SaaS & Enterprise technology solutions to Financial Institutions. She previously worked for Style Analytics (acquired by Investment Metrics), Datastream, FactSet and several ‘start-up’ fintech firms where she managed cross functional teams spanning Sales, Global Accounts, Relationship Management and Client Success.

Chris R. Evans
Chief Technology Officer

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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.

Katie Kiss
Chief M&A/ Transformation Officer

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As Chief M&A / Transformation Officer, Katie is responsible for driving the successful integration of the company’s post-merger-&-acquisition and the business model transformation for Confluence. 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.

Tom Pfister
Managing Director of Compliance, Reporting & Services

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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 Handzy
Managing Director of Performance, Risk & Analytics

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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 Moseley
Managing Director, Global Data Services

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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.

CSS Newsroom

The latest news, research and press releases from CSS

Our Commitment to Corporate Social Responsibility

We believe in service, integrity and personal accountability

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.

Our People

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.

Corporate Ethics

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.

Community Engagement

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.

Environment

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.

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