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The team at TillieStar knows what it’s like to be in your shoes. Investment Compliance is serious business and the stakes are high. Our accomplished team comprises some of the best people in the industry with deep expertise in investment compliance, software consulting, and fintech workflows from leading vendors, asset managers, and consultancies. We get the job done on time and on budget, but we also care and our team is always on your side.
Director of Accounting and Administration
Director of Business Development
Director of Professional Services
Joy has approximately twenty years of experience in financial services with a background in investment compliance, investment compliance technology, transfer agent technology, system migration, and banking. She has experience in 1940 Act funds, Canadian NI 81-102 funds, UCITS, private funds, institutional accounts, and SMA’s. Joy graduated from Emmanuel College with a degree in Business Administration, and has held a Series 6, 63, 7, and 24. Her U5 is in good standing.
Greg manages everything related to accounting and administration. He is a CPA with a background in public accounting and private industry. Outside of work, you are likely to find him at a concert (remember those?), skiing, or on the golf course.
Joe has over twenty years of experience working with asset managers spanning both the capital markets and fintech. Joe began his career trading on Wall Street at Goldman Sachs, later transitioning to sales at Bloomberg, Charles River Development and Investcloud. Joe has a BS from Boston College and an MBA from the UC Berkeley Haas School of Business. In his spare time, Joe is an avid cyclist, skier, and BBQ enthusiast.
Ian has approximately 20 years experience in a variety of compliance and depositary/trustee positions in Europe and the US. An Irish native, Ian has a BComm from University College Cork in Commerce and French, a diploma in Law from the Dublin Business School and became Scrum Master Certified (SMC®) in January 2020.
Ian has in-depth knowledge of both UCITS and AIFMD but has also had exposure to other regulatory regimes such as MiFID/MiFID 2 in Europe and the 1940 Act in the US.
Suzanne is an accomplished investment compliance professional with more than twenty years of compliance and regulatory experience. Suzanne has extensive compliance automation experience, having served as the Product Manager of Compliance at Charles River Development and as the AVP and Lead Systems Analyst for a firm using Fidessa’s Sentinel compliance system. Suzanne has a Bachelor of Arts in Management from Boston College, and has held a Series 6, 7, and 63. Her U5 is in good standing.
Tara is a highly experienced investment compliance professional and an accomplished consultant implementing software such as Charles River Development. She has experience working with equity, fixed income, and derivatives, and has monitored for various regulations such as UCITS, NI 81-102 and the Investment Company Act of 1940. Tara has a Bachelor of Arts Degree in Economics and Spanish from Boston College, and has held a Series 7, 24, 53, and 66. Her U5 is in good standing.
Marie brings over twenty years of experience in the Financial Services consulting industry, primarily focused on delivering large technology-related initiatives for asset managers and other financial services companies. Marie has extensive experience in leading cross-functional delivery teams through the full project lifecycle. Marie graduated with a degree in Computer Science from Fordham University. Marie enjoys traveling to other countries to explore their cultures and cuisines.
Trae has over twenty years of experience in financial services. Trae is seasoned in the Charles River IMS modules including Compliance, Manager Workbench, Blotter, System Administration, Anywhere, PMAR and has experience with the VestmarkOne platform. Trae specializes in training users and project teams through instructional material development and guided hands on exercises. Trae graduated from Bentley University with a degree in Finance and has held a Series 7 and 63. Her U5 is in good standing.
Charles has over 20 years of combined regulatory compliance, consulting, and compliance consulting experience. He possesses extensive experience in coding fund-specific and regulatory compliance rules including 1940 Act, Canadian NI 81-102, and UCITS Rules. Charles graduated from the University of California at Berkeley with a degree in Economics and has held a Series 7 license in the past.
Indrani has over twenty years of investment experience in operations, trading and compliance. Within compliance, she has experience in trade monitoring, rule writing and administering a code of ethics. Indrani has graduated from the University of Massachusetts, Lowell with a BSBA , in Finance. She has held a Series 63 and completed the Investment Adviser Core Compliance Program offered by NRS. Indrani also holds a Bachelor of Arts in English Literature from University of Calcutta, India.
Ferris is an experienced investment compliance professional and a motivated implementation specialist. She has experience working with equity, fixed income, and derivatives, and various regulations like UCITS, NI 81-102, Investment Company Act of 1940, as well as Investment Management Agreements for separated accounts. Ferris has a Bachelor of Business Administration in Accounting and Finance from Loyola University Chicago, and has held a FINRA Series 7. Her U5 is in good standing.
Erica has approximately 10 years of experience as a Business Analyst in financial services, heavily focused in investment management equity trading, post trade processes, investment compliance, investment compliance technology/workflows, and system upgrades/migration. She has extensive experience in requirements gathering, workflow configurations, and testing within Charles River. Erica graduated from Slippery Rock University with a degree in Business Administration, majoring in accounting.
Jason is experienced in investment compliance and consulting with a focus on the coding and testing of fund-specific and regulatory compliance rules in Charles River Development. Jason is also experienced in system upgrades/migration and requirements gathering. Prior to joining TillieStar, Jason worked as a Business Systems Analyst in the banking sector and as an IT contractor for the US Airforce.
Stephanie has over fifteen years of experience in the financial services industry, including five years consulting for wealth and asset managers. Her areas of expertise include portfolio guideline compliance, mutual fund accounting, and investment adviser compliance. Stephanie holds a Bachelors degree from the University of Wisconsin, Madison, and a Juris Doctor from William Mitchell College of Law. She is an inactive member of the Minnesota State Bar.
Tina is a senior level investment compliance professional with experience across platforms including Fidessa Sentinel, Charles River Development, and BlackRock Aladdin. Tina has worked across asset classes and regulatory bodies including the 1940 Act funds, Canadian NI 81-102 funds, UCITS, pension funds, charitable asset management funds, and institutional accounts. Tina received her bachelors from Stonehill College and Masters degree from Bentley University.
Debendra has more than 18 years of experience in Implementation, Business Analysis, and Project Management. He has delivered several large-scale projects across a number of systems including Charles River IMS, SunGard Global Trader, eFront, MultiFonds, and Silica Fund Administration. Originally from India, Debendra is now based out of Singapore. He has a Masters in Finance from Berhampur University, India. In his spare time, Debendra is a film buff and enjoys studying ancient civilization.
Leo has over 10 years of hands on experience and a proven track record working with global buy-side investment managers. His skills encompass order management systems, current trading applications, front/middle/back office processes, and operational risk/audit control assessments. Leo has managed large institutional scale Agile projects that have made positive impacts to multiple regions globally with many of our key clients.
Jen is an industry veteran having spent most of her career as a Senior Equity Trader. She possesses a complete understanding of the investment process, having worked closely alongside compliance, operations, portfolio management and investment product teams. Jen graduated from Boston College with a degree in Marketing. In her spare time, Jen enjoys golfing and running.
Sutapa has 9 years of experience in asset management. Prior to TillieStar she worked at JP Morgan on the guideline monitoring team covering the ’40 Act and UCITS funds with their respective regulatory restrictions, policy statements and client-based mandates Sutapa is currently pursuing a Certificate in Financial Services Compliance from Boston University Law School. In her spare time, Sutapa loves to hike, travel, watch movies and is an avid gardener.