It's All About the People


Management Team

Jeff Horvath

CEO and Co-Founder

Compliance executive, attorney and adviser who's been helping financial institutions understand and meet their regulatory obligations in an efficient and effective manner for over 20 years

Jeffrey Ruiz

COO & Co-Founder

Accomplished Compliance executive, CAMS certified, change champion and program manager, with demonstrated success in enhancing and leading compliance teams and programs across multiple product lines and jurisdictions



Joseph Polizzotto


A distinguished attorney and a former General Counsel at several major financial services institutions, with decades of experience in the financial services industry. Joe is a frequent speaker at conferences on legal and compliance challenges affecting the financial industry and has consulted on a variety of related issues

Joseph Chan

Technical Advisor

A senior business technology leader with US and international experience in enterprise architecture, data governance, data warehousing, business intelligence and enterprise performance management solutions in the financial services industry

Sanjeev Handa


A board director, trustee and senior advisor with thirty years of global experience in the financial, real estate and securitization markets. Sanjeev is known as a leader and consensus builder with a deep understanding of investments, risk management, compliance and corporate governance, and is an Adjunct Professor of Finance at Fairfield Dolan - Fairfield University Charles F. Dolan School of Business


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