Diana Babic

Regulatory Compliance Professional


Diana is a Regulatory Compliance Professional with over 11 years of experience working in the finance industry. She has extensive experience developing global compliance monitoring programs and testing procedures, handling licensing and registration matters for registered personnel, preparing regulatory filings for U.S. and non-U.S. regulators, and responding to regulatory examinations from the SECFINRA and NFA. Diana previously worked as a Senior Compliance Officer at Cohen & Steers. Diana has also worked at broker-dealer firms and hedge funds in both New York and San Francisco.

Diana holds a Bachelor of Science degree in Political Science from Michigan State University.

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