Diana C.
Operations Regulatory Control – Sr. Analyst
Experience
Jan 2023 - Aug 2024
1 year 8 monthsNew York, United States
Operations Regulatory Control – Sr. Analyst
Citibank
- Oversaw compliance and risk control for recordkeeping initiatives tied to Security Based Swaps, SEA 17a-3/4, and Dodd-Frank requirements.
- Partnered with Compliance, Corporate Records Management, and business units to advise on policy and change management issues.
- Identified process improvement opportunities and delivered training to strengthen governance awareness.
- Supported development and implementation of firm-wide records management policies and procedures including UAT on new information governance system.
Oct 2017 - Dec 2022
5 years 3 monthsSt. Petersburg, United States
Information Governance Sr. Advisor
Raymond James & Associates Inc.
- Implemented and managed a program to assess technology projects for records-related impacts, mitigating compliance risks.
- Partnered with IT, Privacy, and Compliance to ensure proper storage of broker-dealer records.
- Designed and supported a database for the annual records attestation program, improving tracking and accountability.
- Conducted regulatory research and supported vendor reviews for technology initiatives and M&A record procedures.
Jan 2009 - Dec 2017
9 yearsNew York, United States
Consultant
Legal and Compliance Consultant
- At Morgan Stanley as Compliance Project Manager: Managed gap analysis of compliance recordkeeping, including retention requirements under FINRA and SEC 17a-3/4; produced risk reports, developed policies and procedures, and supported system implementation.
- At New York Life Insurance Company in Legal Risk Management: Assessed information systems for compliance with internal policies and regulatory recordkeeping requirements; reviewed legal and regulatory reports to identify risks, created compliance frameworks, and implemented controls; liaised with IT and legal to select and deploy a litigation hold system, overseeing process design and system testing.
- At Boehringer-Ingelheim as Project Manager, E-Discovery/Legal Hold SME: Managed legal hold system implementation, vendor selection, and data migration; led UAT implementation and management; led data mapping initiatives and ensured compliance with privacy and retention requirements.
Jan 2000 - Dec 2007
8 yearsNew York, United States
Associate / eDiscovery Counsel
Boies, Schiller & Flexner LLP
- Directed large-scale eDiscovery efforts, including credit card antitrust litigation with 80M+ emails/files and 6M paper records; responsible for testing new review systems and processes.
- Designed databases to track collections, review, invoicing, and production for complex cases.
- Led nationwide collections for telecom merger FTC Second Request.
- Coordinated investigations with the SEC and US Congress in corporate practices probes.
- Served as co-chair of the document management team, developing firm-wide discovery protocols and training attorneys.
Summary
Compliance and legal professional with 15+ years of experience in regulatory risk control, information governance, and legal risk management.
Proven expertise in advising cross-functional teams, implementing recordkeeping systems aligned financial regulations, and managing high-stakes eDiscovery and related projects for financial, insurance, and pharmaceutical institutions.
Languages
English
NativeEducation
New York University
BA, University Honors Scholar · New York, United States
Columbia University
MS · Information and Digital Resource Management · New York, United States
Brooklyn Law School
JD · Law · United States
Certifications & licenses
Columbia AI Bootcamp
CIPP/US
NY State Bar
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