Justin Diaz
Investment & Corporate Banking Compliance Officer
Hoboken,NJ
Summary
Enthusiastic Investment & Corporate Banking Compliance Officer eager to contribute to team success through hard work, attention to detail and excellent organizational skills. High-level understanding of financial analytics, project management, and training in management information systems. Motivated to learn, grow, and excel in Finance.
Overview
7
7
years of professional experience
5
5
years of post-secondary education
Work History
IB & CB Compliance Officer, Vice President
Citi
New York, NY
05.2023 - Current
- Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
- Monitored and assessed compliance risks associated with operational processes and procedures.
- Developed and maintained system for tracking and reporting compliance violations.
- Collaborated with internal and external stakeholders, auditors and legal counsel to confirm compliance with applicable laws and regulations.
- Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
Retail Brokerage Examiner, Member Supervision
FINRA
07.2020 - 05.2023
- Performed yearly reviews of bank policies and procedures to evaluate compliance with regulatory requirements and standards of over 25 member firms.
- Directed and participated in formal and informal meetings with bank directors, trustees and consultants to gather information and discuss findings.
- Conducted complex examinations and special audits to determine resources of company and meet audit objectives.
- Investigated activities of institutions to enforce laws and regulations, assessing legality of transactions and operations or financial solvency.
- Authored thorough reports detailing results of investigations and recommendations to improve compliance and maintain stability.
Sales Practice Intern, Member Regulation
FINRA
05.2018 - 08.2019
- Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
- Managed practical action plans to respond to audit discoveries and compliance violations.
- Monitored data export from internal and external systems, identifying and reporting potential risks.
- Selected for finra.org 2018 FINRA Corporate Internship Spotlight.
- Hosted Corporate Internship Program virtual meetings for 2018 & 2019 FINRA Intern Classes.
Education
MBA -
University of Wisconsin
09.2024 - Current
Bachelor of Science - Marketing
University of Delaware
08.2016 - 06.2020
Skills
Analytical skills
Data management
MS Office
Project coordination
MIS Proficiency
CSR systems
Risk Management
Accomplishments
Black Belt Instructor in Taekwondo
Timeline
MBA -
University of Wisconsin
09.2024 - Current
IB & CB Compliance Officer, Vice President
Citi
05.2023 - Current
Retail Brokerage Examiner, Member Supervision
FINRA
07.2020 - 05.2023
Sales Practice Intern, Member Regulation
FINRA
05.2018 - 08.2019
Bachelor of Science - Marketing
University of Delaware
08.2016 - 06.2020