Publications

• 2023 Common Areas of Focus for Broker-Dealers
• SEC Comment Letter from NSCP Safeguarding Advisory Client Assets .pdf

Broker-Dealer Supervision & Compliance: Reg BI

Specialties & Experience of this Expert Witness

Additional Information

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, Federal Reserve Bank, and international securities regulators. Colleen left FINRA to become a expert witness and independent regulatory consultant assisting clients with regulatory issues, inquiries, and compliance. Areas of expertise include FINRA supervision and compliance, Regulation Best Interest (Reg BI), and broker-dealer activities. Colleen is a FINRA and NFA Arbitrator, Director and Voting Member of Securities Experts Roundtable (SER), and Member of the FINRA Alumni Network, Florida Securities Dealers & Advisors (FSDA), Forensic Expert Witness Association (FEWA), National Association of Corporate Directors (NACD), National Society of Compliance Professionals (NSCP), and 50/50 Women on Boards.