Regulation Best Interest Expert Witnesses
Regulation best interest expert witnesses and consultants listed here may be able to form expert opinions, draft expert witness reports, provide expert witness testimony at deposition and/or trial as or serve as consulting (non-testifying) experts on regulation best interest. The regulation best interest expert witness listings on this page are typically from fields/areas of expertise such as: Risk Management and Securities & Investments.
Colleen Diles
Broker-Dealer Supervision & Compliance: Reg BI
Diles Consulting
Los Angeles, California
Securities & Investments, Risk Management
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Reg BI, Regulation Best Interest, FINRA Programs, FINRA Risk Hierarchy, Sales Practice Issues, FINRA Rules, SEC Rules, Internal Controls, Broker-Dealer Compliance, Broker-Dealer Supervision, Broker-Dealer Regulatory Issue, Written Supervisory Procedures, WSP, Risk Monitoring, Risk Mitigation
President and Founding Principal of Diles Consulting, Colleen has 25 + years of experience in the securities industry. Colleen worked at the Financial Industry Regulatory Authority (FINRA) for 22 years supervising both Examination and Risk Monitoring teams. Most recently, at FINRA, Colleen served as Risk Monitoring Director and Los Angeles Office Senior Leader. Prior to joining FINRA, Colleen held the position of Mutual Fund Administration Supervisor at Chase Global Fund Service Company in Boston, Massachusetts.
During her tenure at FINRA, Colleen developed and enhanced company programs and processes and successfully worked with technology partners to create solutions to advance Risk Monitoring business needs. Additionally, Colleen served as the Los Angeles Regulatory Point of Contact and established relationships with federal and state regulators through stakeholder forums. This included regular interaction with national and regional SEC offices, State securities regulators, NAASA...
