Managing Director, Broker Dealer Compliance
Ms. DiValerio currently serves as Managing Director, Broker Dealer Compliance for Foreside. She is responsible for the overall compliance of Foreside’s 19 proprietary SEC-registered and FINRA member broker-dealers. Ms. DiValerio’s main focus is overseeing Foreside’s broker-dealer Chief Compliance Officers, developing and implementing effective supervisory programs related to registered representative activities, and broker-dealer consulting. Previously, she served as the VP of a small broker-dealer were she oversaw all day to day operations which included sales literature review, rule interpretations and continuing education program. Additionally, she managed the drafting and editing of compliance and written supervisory procedures.