JOSEPH D. DIPIERRO
2000 N. Adams St., Apt. 231 • Arlington, VA 22201 • jddipierro@gmail.com • (860) 798-2238
EXPERIENCE
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
Rockville, MD
Compliance Examiner, Trading & Financial Compliance Examination Team
August 2011 - present
 Manage onsite examinations of member firms to ensure compliance with FINRA, SEC & exchange rules
 Analyze upwards of 5,000-10,000 daily trading records per exam; completed 10 exams & assisted on 15
 Review and recommend improvements on firms’ procedures and processes regarding supervisory efforts
 Conduct interviews and communicate frequently with senior management and trading desk personnel
 Research and enforce regulatory rules, comments & white papers from FINRA, federal & state regulatory entities
 Produce reports and memos of exam findings for senior management review and approval
 Collaborate with down-sized team to increase exam capacity and meet accelerated deadlines
BAIN CAPITAL, LLC
Boston, MA
Senior Compliance Analyst
May 2010 - August 2011
 Enforced firm’s Code of Ethics policy, including personal trading rules & regulations, conflicts of interest,
ethical “walls” between business entities, and material nonpublic information
 Surveyed and analyzed personal trading policies of 10+ peer firms; made recommendations to senior
management regarding changes to Bain’s personal trading policy
 Produced over 75 presentations in Power Point for publication for senior management
 Collaborated with multiple internal department leaders to improve firm-wide compliance education efforts
 Designed and actively managed firm’s new political donation policies and procedures; maintained
compliance with federal election law and state regulations
 Developed innovative processes to track approximately 2,000 personal trading accounts for 850+ employees
 Managed 2,000+ Restricted Entities List, ensuring daily compliance with securities law, internal business
practices, SEC regulations and personal trading policies
Compliance Analyst
August 2008 - May 2010
 Collaborated with CCO to create escalation process for multiple violations of Code of Ethics policy
 Customized, enhanced and maintained Bain’s online compliance system
 Streamlined personal trading and ethical wall functions to increase efficiency and effectiveness
BABSON CAPITAL MANAGEMENT, LLC
Springfield, MA
Compliance/Risk Management Analyst Intern
May 2007 - July 2008
 Enforced various internal rules & regulations relating to the Babson Code of Ethics as well as state and
federal laws regarding personal trading and portfolio compliance
 Collaborated with technology department to streamline & enhance work flows & automate compliance processes
 Conducted and analyzed firm-wide survey of 800+ employees to collect missing personal trading
information and ensure compliance with firm’s Code of Ethics policy
U.S. DEPARTMENT OF JUSTICE, U.S. ATTORNEY’S OFFICE
Washington, D.C.
Attorney & Paralegal Assistant Intern
June 2006 - August 2006
 Conducted legal research & investigatory work, collected case information, and drafted motions for attorneys
 Visited crime scenes with attorneys and interviewed several witnesses to build cases
 Instrumental in moving case from Misdemeanor section in front of Grand Jury for prosecution as a felony
EDUCATION
UNIVERSITY OF MARYLAND Robert H. Smith School of Business
Masters of Business Administration
Washington, DC
Expected May 2016
WESTFIELD STATE COLLEGE
Westfield, MA
Bachelor of Science in Criminal Justice & Economics, with Honors & Distinction
January 2008
Coursework included: Micro- and Macroeconomics, Econometrics, American Judicial Systems, Industrial Organization
Magna Cum Laude, Merit Scholarship Recipient, GPA 3.786/4.0
SKILLS
Computer:
Microsoft Office Suite, Bloomberg, CapitalIQ, Database Management Systems, Westlaw, LexisNexis