Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.
At Diles Consulting, our mission is to empower clients in the financial services sector by delivering personalized, expert regulatory and compliance solutions. We strive to foster a culture of transparency and integrity, ensuring that our clients navigate the detailed regulatory environment with confidence and clarity.
Years of Experience
Happy Clients
Events Attended
Diles Consulting is a powerhouse in the realm of regulatory and compliance solutions, spearheaded by President and Founding Principal Colleen Diles.
With over 30 years of sterling expertise in the securities industry, Colleen made significant contributions throughout her impressive tenure at the Financial Industry Regulatory Authority.
Our company prides itself on offering unparalleled consultative services across the United States and Canada. We are eager to expand our reach by pursuing opportunities in Europe and Asia.
"I thought the engagement with Diles was very professional and demonstrated a quick and clear understanding of how our business functions."
Independent AML Testing Client
"Diles Consulting demonstrated an impressive command of the nuanced regulatory environment in which we operate. Colleen not only has a thorough understanding of the Investment Advisers Act of 1940 and SEC compliance requirements, but also a practical, solutions-oriented mindset that added significant value to our internal processes."
206-4(7) Client
"Colleen is great to work with as she is very knowledgeable and collegial. When I have needed some specific consulting and opinion she has been very responsive and helpful."
Consulting Services Client
"Working with Colleen Diles from Diles Consulting has been a very positive experience. She brought expertise, practical insight, and a calm, solutions-oriented approach that made a big difference as we worked through some complex compliance tasks."
Consulting Services Client
"Her work was meticulous, insightful, and delivered on time with exceptional clarity. The final report provided to our compliance team and senior leadership was both actionable and audit-ready, positioning us for continued success in maintaining full regulatory compliance."
206-4(7) Client
"Colleen was incredibly flexible with her time, easy to work with, and someone I could consistently rely on to help me get things done. On top of that, she’s a great teacher-she has a real gift for breaking down the fine points in a way that's easy to understand, especially when things get a bit technical."
Consulting Services Client
Our clients are established professionals and firms currently operating in or seeking entry into the financial services industry, including broker-dealers and registered investment advisors. We provide them with the strategic guidance and regulatory support necessary to manage the complexities of this dynamic landscape.