Diane M. Email & Phone Number

Lake Grove, Ny, Us

Holbrook, New York, United States

Lake Grove, New York

Consults with clients to provide guidance and advice on a range of compliance issues. Analyzes and evaluates various client policies, procedures, and communication platforms to ensure conformity with compliance regulations and recommend best-in-class practices. -Conducts independent AML audits and Office of Supervisory Jurisdiction (OSJ) Branch Office inspections. -Serves as Chief Compliance Officer for broker dealers. -Evaluates and policies and procedures, including Written… Show more Consults with clients to provide guidance and advice on a range of compliance issues. Analyzes and evaluates various client policies, procedures, and communication platforms to ensure conformity with compliance regulations and recommend best-in-class practices. -Conducts independent AML audits and Office of Supervisory Jurisdiction (OSJ) Branch Office inspections. -Serves as Chief Compliance Officer for broker dealers. -Evaluates and policies and procedures, including Written Supervisory Procedures (WSPs), advertising reviews, and e-mail and Instant Messaging surveillance.-Conducts independent Anti-Money Laundering (AML) audits. Show less

Boston, Massachusetts, United States

Designed compliance and AML programs for a national broker/dealer. Developed processes that reviewed advertising, correspondence, and email content to ensure conformity with regulations and company policies. Audited branch offices and trained independent Financial Advisors and staff on compliance regulations and best-in-class practices.

Mitchel Field, New York

Led Compliance and Operations teams for a multi-line financial services firm serving clients in institutional and retail brokerage, investment banking, asset management, municipal finance, and cash management with a network of > 200 Representatives in the USA and Latin America. -Provided KYC and AML oversight to all lines of business, administered the AML and sanctions screening program, including BSA regulations, CIP program, PEP and OFAC sanctions, and suspicious activity… Show more Led Compliance and Operations teams for a multi-line financial services firm serving clients in institutional and retail brokerage, investment banking, asset management, municipal finance, and cash management with a network of > 200 Representatives in the USA and Latin America. -Provided KYC and AML oversight to all lines of business, administered the AML and sanctions screening program, including BSA regulations, CIP program, PEP and OFAC sanctions, and suspicious activity detection. -Selected, trained, and mentored team members on industry regulations and spearheaded the development of best practices to improve efficiency and effectiveness. Administered the AML and sanctions screening program, including BSA regulations, CIP program, PEP and OFAC sanctions, and suspicious activity detection.-Identified compliance risks for every business line and acted as liaison with the SEC and FINRA during audits and regulatory exams. -Conducted due diligence on prospective secondary clearing relationships. Led a transition team that oversaw the integration and conversion of 20,000 clients from JP Morgan Clearing Corp to Pershing, LLC. Show less

Mitchel Field, New York

As Vice President, Relationship Manager, 2000 – 2008, served as the primary liaison for branch offices/OSJs, 125 independent registered representatives, 15 tri-party relationships and 3 clearing firms. Provided oversight for the conversion and integration of all new relationships including tri-party arrangements. -Spearheaded the electronic archiving of > 15,000 client files. Reviewed risk reports and investigated AML issues for asset movements between customer accounts and… Show more As Vice President, Relationship Manager, 2000 – 2008, served as the primary liaison for branch offices/OSJs, 125 independent registered representatives, 15 tri-party relationships and 3 clearing firms. Provided oversight for the conversion and integration of all new relationships including tri-party arrangements. -Spearheaded the electronic archiving of > 15,000 client files. Reviewed risk reports and investigated AML issues for asset movements between customer accounts and incoming/outgoing wires to third parties and money exchange houses. Show less

Mitchel Field, New York

Began with the company as Operations Manager to lead a diverse team, including the Mutual Fund and International departments, to achieve goals, ensure operational effectiveness and provide stakeholder satisfaction. -Oversaw the execution of standards, programs, and resources to ensure high quality support and service for brokers and retail/institutional clients. -Monitored new accounts, asset, domestic, and international money movements, account settlements, international… Show more Began with the company as Operations Manager to lead a diverse team, including the Mutual Fund and International departments, to achieve goals, ensure operational effectiveness and provide stakeholder satisfaction. -Oversaw the execution of standards, programs, and resources to ensure high quality support and service for brokers and retail/institutional clients. -Monitored new accounts, asset, domestic, and international money movements, account settlements, international trades, and various trading accounts for accuracy and compliance. Show less