If you’ve ever wondered what real leadership looks like in high-stakes environments, pull up a chair. This episode with Colleen Diles hits different.
Colleen spent more than 22 years inside FINRA, the regulatory engine behind every broker-dealer in the United States. She has navigated billion-dollar acquisitions, wrangled teams of attorneys, pushed back on regulators with confidence, and guided firms through some of the most complex compliance terrain in the financial world. Today, she runs Diles Consulting, where she helps firms establish, grow, and stay compliant, and serves as a sought-after expert witness.
But here’s what makes this conversation special. Colleen pairs sharp analysis and ironclad clarity with an almost surprising calm and compassion. She’s the leader who stands her ground, protects her people, and walks into tense rooms with steady confidence. She’s also the eight-year-old who once fired her babysitter, which tells you everything you need to know about where this started.
If you’re a founder, financial executive, attorney, or someone fascinated by leadership psychology, regulatory strategy, expert witness work, or board-level decision-making, this episode delivers insights you can apply instantly.
What You’ll Learn in This Episode
What Good Leadership Actually Looks Like in High-Pressure Industries
Colleen breaks down why leadership isn’t loud or aggressive. It’s clarity. It’s calm. It’s knowing when to say no. You’ll hear how she guides billion-dollar deals, manages attorneys, and wins trust from regulators without ever raising her voice.
The Art of Pushing Back on Regulators With Confidence
Most people freeze when dealing with regulatory bodies. Not Colleen. She explains the mindset required to stand firm, say “that’s not required,” and do it in a way that earns respect. This is essential learning for anyone working with FINRA, SEC, or compliance oversight.
How to Deliver the Truth Even When It Costs You the Client
Colleen reveals how she handles consultations where honesty might mean walking away. Her philosophy on truth, ethics, and long-term reputation is a masterclass in integrity for consultants, experts, and service providers.
Staying Calm in Rooms Full of Attorneys
As an expert witness, Colleen gets cross-examined by attorneys whose goal is to shake her confidence. She shares the mental framework that keeps her centered, credible, and unshakeable under pressure. These are life skills you’ll want to borrow.
Why Empathy Is a Power Tool for Leaders
Her secret? She has empathy for the person trying to rattle her. This surprising perspective is part of what makes her extraordinarily effective and deeply trusted.
The “Mama Bear” Style of Leadership
Colleen opens up about the nickname her team gave her and how protecting her people became a defining trait of her leadership. If you manage a team, you’ll love this.
How She Decided to Leave FINRA and Build Her Own Firm
You’ll hear her decision-making process, her internal “what’s the worst that can happen” framework, and what it felt like landing her first clients in the early months of Dials Consulting.
The Path to the Boardroom and Why She Wants That Next
Colleen walks through her growing passion for board service, governance, and audit committees. If you’re exploring board opportunities or corporate leadership, you’ll pick up strategies and clarity for your own path.
Why Firms Turn to Her for High-Stakes Projects
From establishing broker-dealers to completing CMAs and NMAs faster than industry norms,...
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