Dianna Dudley

About Dianna Dudley

Dynamic, forward-focused Compliance Leader driving regulatory excellence with attention to detail.As a Compliance Officer with extensive experience in the financial industry, I bring a wealth of expertise in navigating complex compliance landscapes and ensuring adherence to regulatory requirements. With a proven track record of developing and implementing robust compliance programs, I have consistently delivered exceptional results while upholding the highest ethical standards. Throughout my career, I have demonstrated a strong commitment to understanding and interpreting regulatory guidelines, allowing me to provide strategic guidance to senior leadership and influence decision-making processes. By conducting comprehensive risk assessments, I have identified potential compliance issues and implemented proactive solutions, significantly reducing compliance risks and ensuring regulatory compliance across all operational areas.Collaboration is at the core of my approach, and I have a demonstrated ability to work effectively with cross-functional teams, leveraging best practices and driving effective compliance strategies. My excellent communication skills enable me to effectively communicate complex compliance concepts to diverse audiences, bridging the gap between technical compliance requirements and operational implementation.As an accomplished Compliance Officer, I am driven by a passion for excellence and a dedication to upholding the integrity of organizations. I am now seeking new opportunities to apply my expertise, drive impactful change, and contribute to the success of an organization committed to maintaining the highest standards of compliance. If you are looking for a seasoned compliance professional with a proven track record of success, I invite you to connect with me. Together, we can navigate the complex compliance landscape, drive compliance excellence, and ensure your organization\'s ongoing success in an ever-changing regulatory environment.

Experience

1. Compliance Officer

   BMO Capital Markets

   Dec 2024 — Present · New York, NY, US

   Works in the implementation, maintenance, and administration of specific compliance programs within Global Markets, I & CB, and necessary registrations across all U.S. groups. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products to draft and implement new/revised policies and programs to address such changes. Accesses, monitors, and reports on sensitive Bank, customer, transactional, and employee information to ensure compliance with regulatory requirements. Exercises judgment to identify, diagnose, and solve problems within given rules. Monitor controls that cover trade reporting, execution, and electronic communication Updating the BMO Registrations Policies and Procedures documentation of existing procedures Assist in the management of Branch inspection reviews covering US Branch Office locations. Works independently on a range of complex tasks, which may include unique registration situations.

Education

• Howard University

  BS Finance, Finance and Marketing

  1969 — 1975

• Golden Gate University

  MBA, International Finance - 12 credit hours

Skills

• Budgets
• Finance
• Outlook
• Leadership
• Anti Money Laundering
• Microsoft Word
• Powerpoint
• Microsoft Excel
• Fixed Income
• Promotions
• Microsoft Office
• Financial Risk
• Financial Services
• Regulatory Reporting
• Due Diligence
• Aml
• Public Relations
• Team Building
• Management
• Strategy
• Marketing
• Financial Analysis
• Nonprofits
• Executive Management
• Investment Banking
• Cross-Functional Team Leadership
• Marketing Strategy
• Securities
• Event Management
• Access
• Writing
• Operational Risk
• Excel
• Kyc
• Portfolio Management
• Customer Relations
• Compliance
• Entrepreneurship
• Banking
• Risk Management