Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.
Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.
Entering the financial services sector requires navigating the complexities of a FINRA New Member Application (NMA), a task that can be a
significant hurdle for new firms. Diles Consulting specializes in providing end-to-end NMA support, offering the strategic guidance and regulatory
support necessary to manage the intricacies of the process. By delivering personalized Expert Compliance Solutions, our company empowers its
clients to approach this detailed environment with clarity and confidence.
A Comprehensive, Custom-Built Strategy
Diles Consulting utilizes a "Custom-Built Strategy" for every NMA client, ensuring the application is tailored to the firm's specific business model.
Our suite of services includes the development and management of essential regulatory components, such as:
• Written Supervisory Procedures (WSPs)
• AML Compliance Programs (AMLCP)
• Business Continuity Plans (BCP)
• Supervisory Structure design
• FINRA Application Management and Regulatory Response Support
Deep Regulatory Knowledge
Colleen Diles, Founding Principal of Diles Consulting, is the driving force behind the firm's success. She brings more than 30 years of securities
industry experience to her clients, including 22 years at FINRA, giving her a genuine insider's understanding of what regulators expect.
That background, particularly her extensive work reviewing and approving membership applications, allows clients to move forward with confidence.
Personalized and Solutions-Oriented Service
Beyond technical proficiency, Diles Consulting is recognized for its tailored approach and personal attention. Clients describe the firm’s work as
meticulous and insightful, noting that they provide practical guidance that adds significant value to internal processes. This commitment to
a "culture of transparency and integrity" ensures that firms are not just meeting requirements, but are positioned for long-term success.
For firms seeking entry into the financial services industry, Diles Consulting offers the strategic guidance necessary to manage this dynamic landscape.