President and Founding Principal of Diles Consulting, Colleen has over 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. Services include expert witness testimony, completing FINRA membership applications, responding to inquiries from regulatory agencies, compliance support, and conducting independent reviews (e.g., AML Test, 3120 Report, and Rule 206(4)-7 Report).
Colleen is a FINRA and National Futures Association (NFA) Arbitrator. In addition to SER, Colleen is a Member of the Florida Securities Dealers & Advisors (FSDA), Forensic Expert Witness Association (FEWA), FINRA Alumni Network, National Association of Corporate Directors (NACD), and National Society of Compliance Professionals (NSCP).
SER Voting Member
Curriculum Vitae