About Diles Consulting

About Us

Mission Statement

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. Our commitment is to provide unwavering support and guidance, helping firms achieve compliance excellence.

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.

At Diles Consulting, we pride ourselves on delivering exceptional service and tailored solutions for our clients in the financial services industry. Our Testimonials showcase feedback from clients we have had the privilege to serve. Their comments reflect our commitment to excellence and the impactful results we strive to achieve.

Colleen Diles

President

Over 25 years of experience in the securities industry, including 22 years with FINRA. Extensive broker-dealer regulatory experience scoping examinations, conducting examinations, reviewing and accepting responses, opining on disposition, identifying business and operational risk, and evaluating the effectiveness of firm controls.

Phone

213-613-8227

Email

colleen@dilesconsulting.com

Curriculum Vitae

Our Founder

Consultant With Extensive Experience

President and Founding Principal Colleen Diles 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 the Los Angeles Office Senior Leader. Prior to joining FINRA, Colleen was a Mutual Fund Administration Supervisor at Chase Global Fund Service Company in Boston, Massachusetts.

Program Design and Process Build Out
• Developed and implemented the Risk Monitoring house-holding initiative, which enabled FINRA staff to monitor and assess risk on an industry, enterprise, and individual member firm level. As a result of the initiative, affiliated member firms had one main point of contact at FINRA, thereby making the regulatory relationship stronger and more efficient.
• Built out the 2022 FINRA Examination Program, provided training, and created related guidance.
• Promoted the Limited Purpose Program (LPP) of targeted examinations for lower-risk firms without retail touchpoints.
• Provided recommendations, direction, and insight to advance FINRA programs and drafted national guidance and policies.

Technology Solutions
• Spearheaded the development of Analytic Activities, which is a tool used by Risk Monitoring staff to complete and document their analysis of key events and material information.
• Worked closely with Data Analytics and Technology Teams to develop solutions for Risk Monitoring business needs.

Working with Federal and State Regulators
• Developed relationships with key 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.
• Served as the Los Angeles Regulatory Point of Contact.

Public Speaking and Constituent Outreach
• 2025 Securities Experts Roundtable Events
   • The Expert's Agreement: Writing Engagement Letters That Work
   • From Expertise to Income: Building Your Expert Witness Business
• 2025 COCFE Fraud Conference
   • Fraud Frontlines: Exploring Financial Crimes from the FINRA Trenches,
   • Expert Witness Excellence: Building Credibility, Maintaining Relevance
• 2024 Securities Experts Roundtable Events
   • A Masterclass on the Expert Witness Mindset
   • It's not just AML
   • Visibility Matters: Mastering SEO, Moderator
• 2024 NSCP National Conference
   • BD - Remote Supervision Pilot program and Residential Supervisory Locations
• 2023 NSCP National Conference
   • BD LAB - Compliance Testing and Surveillance: Regulatory Expectations
• 2023 Women Leaders in Governance, Risk, and Compliance (GRC)
   • Winning Women Entrepreneurs: Compliance, Risk & Ethics Edition
• 2021 FINRA Annual Virtual Conference
   • Remote Supervision: Compliance Challenges in a Remote Working World
• 2020 FINRA Small Firm Virtual Conference
   • Office Hours
• 2019 SIFMA C&L Annual Seminar
   • Navigating Ethical Dilemmas when Transitioning Roles
• 2019 FINRA Small Firm Conference and 2019 FINRA Midwest Region Member Forum
   • Transformation of FINRA’s Examination and Risk Monitoring Program
• 2014 SEC and FINRA Compliance Outreach Program
   • Tailoring Firm Element Training to Business and Regulatory Concerns

Memberships
• 50/50 Women on Boards
• Florida Securities Dealers & Advisors (FSDA)
• National Association of Corporate Directors (NACD)
• National Society of Compliance Professionals (NSCP)
• Private Directors Association (PDA)
• ProVisors
• Securities Experts Roundtable (SER)

Education / Programs
• Excellence in Management Program, Wharton School of Business, University of Pennsylvania
• BSBA (concentrations in Accounting and Finance), Merrimack College

Kara Prifti

Project Manager

Kara Prifti is a seasoned professional with over two decades of experience in business sales and marketing, complemented by five years in education as a certified media specialist. Her leadership as a yearbook advisor has earned national accolades for design excellence and personal recognition for exceptional deadline management.

Empowering Clients in Financial