Industry Challenge
Financial services executives are faced with continuous pressure to reduce operational costs while maintaining rigorous compliance. Outsourcing is regularly employed to drive cost efficiency in certain business functions; however, it is not always top-of-mind for operational functions that have a compliance component. Today, technology advances by both regulatory filing offices and commercial solution providers have brought outsourcing Registration and Licensing operations into the realm of reality. While financial savings was the primary initial driver of the move to outsource entire business functions, firms now look to outsourcing to yield other benefits that have equal importance. Outsourcing enables the firm to maintain focus on core competencies and drive mission-critical business imperatives forward while establishing scalability for immediate response to changing business needs.

Diane Anderson, Senior Vice President, Operations

Diane Anderson, Senior Vice President, Operations

Diane is responsible for leading strategy for the delivery of RegEd services to clients, with specific oversight and responsibility for RegEd’s Registration and Licensing (RLS) Outsourcing Operations, among other company operations. With more than 25 years’ in the financial services industry, Diane has deep experience leading client facing Operations and Call Center Services and possesses specific expertise in broker-dealer, distributor and insurance operations including directing regulatory requirements, process improvement and client solutions.

Prior to joining RegEd, Diane was with LPL Financial (San Diego) for seven years where she held the position of SVP Broker Dealer Operations with responsibility for the strategic direction and management of clearing operations and customer service. In addition, she directed the strategy and implementation of special product operations including RIA services and the direct trading platform. Ms. Anderson’s background also includes over 15 years with Lincoln Financial Group/ Delaware Investments where, as SVP Retirement Operations, and COO of Delaware Management Trust Co., she focused on directing strategy and the daily operations of Institutional Qualified Plan Administration and Compliance for mutual fund and insurance products.

Diane holds series 7, 24 and 63 FINRA licenses, and a PM certification through PMI. She is a member of the Financial Services Regulatory Association; Broker Dealer Services Association; Project Management Institute (PMI); SIFMA and Cannon Financial Institute.

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