Colleen Diles

President and Founding Principal of Diles Consulting, Colleen has over 25 years of experience in the securities industry. Prior to opening Diles Consulting, Colleen worked at the Financial Industry Regulatory Authority (FINRA) for 22 years supervising both Examination and Risk Monitoring teams. In 2022, Colleen left FINRA to become an independent regulatory consultant, assisting broker-dealer and registered investment advisory clients with regulatory issues, inquiries, and compliance. Services include Securities Litigation Expert Witness, filing FINRA Membership Applications, Independent Testing (e.g., AML Test, 3120 Report, and Rule 206(4)-7 Report), and providing Compliance Support.