Colleen Diles Expert Witness
Curriculum Vitae

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Specialties & Experience of this Expert Witness

General Specialties:

Securities & Investments

Keywords/Search Terms:

FINRA Programs, FINRA Risk Hierarchy, FINRA Sales Practice Issues, FINRA and SEC Rules, Reg BI, Assessment of Internal Controls, Broker-Dealer Compliance and Supervision, Broker-Dealer Regulatory Issues, and Risk Monitoring and Mitigation.


B.S., Accounting, Merrimack College

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 an 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 NFA Arbitrator and Member of the Association of Certified Anti-Money Laundering Specialists (ACAMS), FINRA Alumni Network, Forensic Expert Witness Association (FEWA), National Association of Black Compliance & Risk Management Professionals (NABCRMP), National Society of Compliance Professionals (NSCP), and Securities Experts Roundtable (SER).