Dianna Francisco Rich

• -Conducted ongoing compliance surveillance and supervision of social media communications, identifying and escalating potential compliance concerns to corporate stakeholders and investigative teams for review and remediation
• -Analyzed and presented complaint trends, key risk indicators, regulatory metrics, and emerging risks to executive leadership, supporting governance initiatives and risk-based decision-making
• -Partnered with business leaders and control functions to identify systemic issues, strengthen supervisory controls, and implement corrective actions designed to mitigate regulatory and reputational risk
• -Performed final Series 24 principal review and approval of responses to complex client escalations, regulatory inquiries, and sensitive matters involving FINRA and other regulatory stakeholders
• -Led and developed a team of 10 compliance analysts, providing coaching on brokerage regulations, complaint investigations, supervisory procedures, and regulatory recordkeeping requirements
• Supported continuous improvement initiatives that enhanced operational efficiency, consistency of reviews, and regulatory compliance across the organization

• Oversaw regulatory review of outgoing written correspondence to ensure compliance with firm policies, FINRA requirements, and record-retention obligations.

• Conducted quality assurance reviews and supervisory oversight of analyst investigations, correspondence, and complaint resolutions.

• Compiled and analyzed compliance metrics and reporting for executive management, internal audits, external examinations, and dispute matters.

• Researched and drafted responses to complex regulatory inquiries, attorney correspondence, and escalated customer matters requiring detailed regulatory analysis.

• -Spearheaded the reconciliation of over 12,000 brokerage complaints annually including transmitting and recordkeeping the Firm’s 4530D and 4530 (a) (1) (B) FINRA filings
• -Performed intake of over 600 brokerage and bank complaints monthly ensuring compliance with appropriate FINRA and firm complaint coding guidelines and internal taxonomy
• -Co-led the departmental digitization of physical compliance records, streamlining audits and facilitating compliance with retention standards

• -Maintained a dedicated book of over three hundred households with over 25 million in assets, providing high value clients with support related to industry regulations, internal policies, trading support and product knowledge
• -Resolved complex client inquiries and trade discrepancies through close coordination with internal departments, driving client satisfaction and retention
• -Cultivated trust within high-value client relationships that inspired the consolidation of over 20 million dollars in additional assets under management (AUM) via referrals and deposits

• -Processed client inquiries related to trading, corporate actions and general account support, taking over 75 inquiries per day while meeting quality standards
• -Leveraged the Bloomberg Terminal to monitor real-time market data for trade inquiries, ensuring Firm adherence to REG NMS

• -Investigated escalations related to retirement transactions such as contributions, reclassifications, distribution coding, and processing times
• -Advised plan participants on complex IRS regulations and plan provisions for 401(k) accounts to ensure full regulatory compliance and informed decision making