Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.

Financial Expert Colleen Diles at Diles Consulting
Offering Consulting Services Worldwide

30+ Years of Experience in the Securities

Industry
Securities Industry Expertise
[ News Archive > ]

Latest News Posts


Aug 27, 2026

Diles Consulting at the 2026 SER Annual Member Meeting & Expert Conference

• Diles Consulting served as a sponsor of the 2026 Securities Expert Roundtable (SER) Annual Member Meeting and Expert Conference, held August 6–7 at the Sofitel Hotel in Washington, D.C. The conference convened attorneys, expert witnesses, and compliance professionals for two days of programming that addressed current developments in securities litigation and regulatory practice.

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Aug 25, 2026

The Cost of Regulatory Recidivism: Why Independent AML Testing Matters

• A recent FINRA enforcement action resulting in a $20 million fine underscores the cost of persistent anti-money laundering (AML) failures. FINRA's use of "progressive discipline" in the case signals a diminishing tolerance for firms that fail to remediate known compliance gaps, particularly those involving foreign currency wires and customer due diligence (CDD).

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Aug 11, 2026

Client Success Story: Independent AML Testing

• At Diles Consulting, we take pride in delivering compliance solutions that are practical, professional, and tailored to each client's unique needs. We are honored to share feedback from a recent Independent AML Testing client that plans to engage us in 2027. The CEO "... thought the engagement with Diles was very professional and demonstrated a quick and clear understanding of how our business functions. The advice offered was constructive and rational."

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Diles Consulting

Our Mission

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.

  • Providing Custom Solutions
  • Experienced Professionals
  • Tailored Approach
  • Personal Attention
Providing Custom Financial Solutions


Financial Sector Experience

30 +

Years of Experience

Diles Consulting Clients

25 +

Happy Clients

Events Attended by Colleen Diles

100 +

Events Attended

 
Diles Consulting Securities Industry Experts
About

Securities Industry Expertise

Regulatory and Compliance Solutions
Founding Principal Colleen Diles

Diles Consulting is a powerhouse in the realm of regulatory and compliance solutions, spearheaded by President and Founding Principal Colleen Diles.

Sterling Expertise Securities Industry
30 Years Sterling Expertise

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.

Financial Consultative Services
Unparalleled Consultative Services

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.

Diles Consulting Testimonials

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Diles Consulting
Diles Consulting Clients Reviews
Client Testimonials

What Our Clients Say

Diles Consulting Review

"I thought the engagement with Diles was very professional and demonstrated a quick and clear understanding of how our business functions."

Diles Consulting Testimonial

CEO

Independent AML Testing Client

Diles Consulting Review

"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."

Diles Consulting Testimonial

Chief Compliance Officer

206-4(7) Client

Diles Consulting Testimonial

"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."

Diles Consulting Testimonial

President

Consulting Services Client

Praise from Clients

"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."

Diles Consulting Client

CCO

Consulting Services Client

Colleen Diles Client Testimonial

"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."

Diles Consulting Praise

Chief Compliance Officer

206-4(7) Client

Diles Consulting Review

"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."

Colleen Diles and Diles Consulting Testimonials

CCO

Consulting Services Client

Exceptional Service & Tailored Solutions

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.