Richard Diaz Email & Phone Number

Jackson, New Jersey, United States

Freehold Nj

The Mission of THESPIAN SCHOLARS OF AMERICA, INC. is to restore pride and honor to Theater Arts and Music classes within our schools, and other educational institutions across our nation, by honoring with scholarships, the students who maintain an excellent academic standard, while actively participating in these programs.

New Jersey

Referral Consulting Business. What does that mean? I will now be able to focus on helping clients through education and guidance. I will no longer be asking for commissions or to get your business. I will however be here to answer general questions and concerns that you may have about real estate. And if you need to find an agent – I will have a list of agents that I have vetted and can recommend to you based on your needs and location.

Freehold, Nj

Per Diem Substitute

Monmouth County, New Jersey, United States

Monroe Township, New Jersey, United States

Monmouth County, New Jersey, United States

Holmdel, Nj

Licensed New Jersey Real Estate Agent working with Buyers & Sellers of residential properties in Freehold, Marlboro, Manalapan and Colts Neck, New Jersey.

Electronic Communication and eGovernance Compliance Consulting Services offering advice to both Clients and Consulting Firms

Piscataway, New Jersey

Enhanced and developed processes and deliverables around information data governance, surveillance and supervision for key Fortune 500 companies in Financial Services, Health Care, Pharmaceuticals and Utilities.• Worked with clients, determined their project scope, including sensitive / private data, environments and processes which helped develop new policies, procedures and practices.• Identified audit requirements and control points which established a realistic target state for clients. • Performed in-depth gap analysis of potential ECM processes and developed strong implementation roadmaps for clients.• Established key strategic initiatives in information lifecycle management & governance, eCommunication controls and surveillance solutions that allowed clients to reach their intended goals in an effective manner.• Developed Client Executive Communications and championed client relationships for both the client and my firm driving a successful partnership for both.• Managed Assessment and Framework development specific to Information Governance, Surveillance and Supervision in order to deliver a quality project in a timely manner.• Assisted clients in streamlining and modifying existing ECM tools such as Documentum by developing standardized processes and procedures used to establish strong and precise requirements.

Nyc

Global Compliance - Electronic Communications - Managed a team of email reviewers/analyst and investigators, enhanced and developed processes and procedures as well as developed new requirements for next generation tools and systems. Leader in the Firm’s Global Electronic Communications Operation Strategy Group which is charged with driving the overall strategy, business process and technology future state of the eCommunications Supervision and Surveillance program.

eCommunications Supervisor and Project Manager for both the Institutional Equities Division & Research Division; responsible for electronic email review, investigation and issue for the firm.• Used eCommunication (email, instant messaging, etc.) Supervision and Surveillance tools such as Autonomy Supervisor (Zantaz) and Vontu that identified potential rule violation and or criminal activity and mitigated risk.• Optimized the Institutional Equities Division eCommunication risk management process creating a more efficient and streamlined work flow.• Maintained the Written Supervisory Procedures (WSP) Editor - creating, coordinating, editing and publishing new IED WSPs.

Oversaw the day-to-day operations of the firm. Managed a team of 8 employee’s workflow and contributed to customer satisfaction and sales.• Successfully re-organized the company (i.e., new processes, policies, procedures and training) and increased sales as well as quality of the products.• Managed Clients’ CRD registration process and ensured timely and proper registration of their representatives.• Developed regulatory / compliance programs for US broker/dealer clients in compliance with FINRA supervisory rules.

Subject matter expert in eCommunication Supervision, Surveillance and Retention Rules and Regulations.• As a Business analyst worked with clients to optimize their EC Compliance and risk management process to better comply with the appropriate regulatory requirements.• Authored and published multiple white papers and articles on electronic communications risk management which were used by clients to establish their programs.• Brought real life experience on Legal / Compliance business & technical engagements.

Electronic Communication & Technology ComplianceManaged the Technology Forensics, Incident Response, Threat Management and Intelligence Operations Area.Six Sigma Black BeltGlobal Compliance PracticesTechnology Compliance13d, f & g / Global ReportingBlue Sky

Technology CompliancePrivate Bank Client Services CompliancePrivate Bank Operations Compliance

General Compliance Officer

Mba, Information Systems & International Business

Bachelor Of Arts (B.A.), Psychology With Business Minor