Dianna Dudley

adyyqy@r.postjobfree.com • LinkedIn

New York, NY • 914-***-****

Summary

Compliance Banking Officer

Accomplished, results-driven Compliance Leader with a strong background as a Subject Matter Expert in compliance rules, regulations, and regulatory reporting requirements within the financial industry.

Proven success in developing and implementing robust compliance programs to ensure adherence to regulatory requirements for broker-dealers, swap dealers, and futures commission merchants. Analytical problem-solver with expertise in conducting comprehensive risk assessments, monitoring and testing of compliance activities, and providing strategic guidance to senior leadership. Adept at identifying potential compliance issues and developing proactive solutions. Skilled in collaborating with cross-functional teams to leverage best practices and drive effective compliance strategies. Harness excellent communication skills to build productive partnerships with internal and external stakeholders. Proficient in MS Excel, Word, PowerPoint, and Adobe Acrobat, and fluent in ASL (American Sign Language).

Areas of Expertise

•Broker/Dealer Rules & Regulations

•Strategic Thinking

•Risk Management

•Legal & Compliance

•Quality Assurance Monitoring & Testing

•Financial Services Industry

•Compliance Risk Assessments

•SWAP Dealer and FCM Regulatory Reporting Requirements

Career Experience

August Leadership, New York, NY Sep 2021 – Mar 2023

Advisory Partner

Engaged in the search for Compliance and Institutional Corporate bankers and executives across diverse industries, collaborating with fellow partners. Contributed actively to senior mandates, ensuring successful outcomes for clients.

●Leveraged expertise from banking, hospitality, and media backgrounds to effectively comprehend and align client objectives with the most suitable candidates.

●Identified highly qualified candidates for clients, with specific emphasis on Banking Compliance, corporate banking roles, and fulfilling the regulatory reporting mandates of the CFTC and Swap Dealer.

Breaking Barriers Institute, Washington, DC July 2017 – Present

Volunteer

Volunteer as part of a cohesive team of 300 individuals as Society of the 60s Scholars and associates, collaborating to deliver impactful lectures, counseling sessions, advice, and insights to educate future generations about African American history and culture. Write and edit governmental funding proposals and website content. Lead brainstorming sessions and initiatives for upcoming lectures, interviews, and events.

NatWest Markets (formerly Royal Bank of Scotland), Stamford, Connecticut Oct 2011 – June 2017

Compliance Officer, Conduct & Regulatory Affairs (C&RA) - Regulatory Reporting

Functioned as a Subject Matter Expert on regulatory Swap Dealer rules. Contributed as a valuable member of the Swap Dealer task force, ensuring compliance with all SD requirements for the broker-dealer. Collaborated with the Swap Dealer CCO on Annual Compliance reports. Fulfilled Various State Licensing Reporting Requirements. Oversaw Business Continuity within C&RA. Managed Business Records Retention and Maintenance within C&RA. Conducted Compliance training for new employees, summer interns, graduate employees, and contractors and imparted knowledge on new and existing regulatory rules. Coordinated additional training as requested by business stakeholders. Partnered with IT Compliance to ensure robust systems and compliance with regulatory reporting requirements.

Participated in review of policy testing and implementation processes on a quarterly and annual basis.

●Composed and restructured Conduct and Regulatory Affairs procedures, resulting in improved policies and procedures for the broker dealer, Swap Dealer and FCM compliance functions.

●Implemented and managed the Annual Compliance Attestations, including the Global Swap Dealer Attestation and all U.S. Employee Annual Attestations.

●Gained expertise in regulatory rules related to specific report filings for the broker-dealer, including submissions to CFTC, NFA, FINRA, and the SEC.

●Compliance training for new hires as well as training the front office of newly introduced regulatory rules.

●Risk Assessment Compliance Assurance Testing initiative, evaluating internal Compliance and Operational procedures to ensure compliance with current regulatory rules, strengthening C&RA processes, and identifying and addressing compliance risks, including thorough testing of FINRA Rule 4530 regulatory reporting requirements.

●Previously held Series 7, 63, and 24 Licenses.

** Additional experience as Registration and Licensing Associate at Royal Bank of Scotland - Conduct & Regulatory Affairs - Regulatory Reporting, Stamford, Connecticut, Consultant at Spectrum HR Solutions and Boardroom, Inc., Partnership Marketing Team Member at Starwood Hotels & Resorts - White Plains, New York, Foundation Coordinator at USTA Foundation, White Plains, New York, Owner and Manager at Belle Forma Locations, New Rochelle, New York LTD., Broker, Equities and Fixed Income at Prudential Securities, New York, NY, Marketing Director at Maclean Hunter Cable TV Corporation, Toronto, Canada, and National Account Manager at Home Box Office, New York, NY

Education

Bachelor of Science in Finance

Howard University, Washington, D.C.

MBA in International Finance (Coursework)

Golden Gate University, San Francisco, California

Memberships & Affiliations

Let’s Go Boys and Girls, Baltimore, MD, Board Member, Jul 2017 – Present

Serve as Board Member for a non-profit organization focused on driving poverty alleviation through STEM education and workforce development programs.

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