Donna DiMaria

Donna DiMaria

Ms. DiMaria is a Director at Vigilant. Her compliance background stems from her more 30 years of experience in the Financial Services and Investment Management industry. In her role at Vigilant, Donna develops, tests, and monitors Compliance Programs for broker-dealers and investment advisers. Her background includes working closely with the SEC, FINRA, MSRB as well as State Administrators. She is also well versed in regulatory filings, including Form ADV, Form BD, U4s and state registrations.

Ms. DiMaria has been a compliance consultant for more than 6 years aiding clients with their compliance programs. She has provided guidance on her client’s policies and procedures, prepared GAP analyses, conducts office inspections, designs Continuing Education and AML training programs and aids clients with a variety of regulatory filings. Ms. DiMaria also helps clients with a variety of due diligence projects.

Donna DiMaria was formerly the CCO for Tessera Capital Partners, LLC (TCP) for 18 years. TCP was a FINRA registered Broker-Dealer, Investment Adviser as well as a Municipal Dealer and Municipal Advisor registered with the MSRB. In this role she managed the firm’s compliance program as well as for the firm’s retail and institutional business lines. She served as the AML CO for 14 years.

Prior to Tessera, Ms. DiMaria held roles at WestAM (WestLB Asset Management), Forstmann-Leff International, UBS Asset Management, Kidder Peabody, and Prudential Securities.

Ms. DiMaria currently serves as the Chairman of Board and Chair of the Regulatory Committee of the Global Asset Management Marketing Association (“GAMMA”, formerly 3PM). She was also the former President of GAMMA, a position she held for more than 5 years.  Ms. DiMaria was a member of National Society of Compliance Professionals (“NSCP”) for many years sitting on both the BD and MA committees. She was also a member of the FINRA Capital Acquisition and Placement Broker Committee (“CAP”), FINRA’s Membership Committee and often spoke at a variety of FINRA’s conferences and events. Ms. DiMaria took part on the MSRB’s PQAC (Series 50 Exam) committee and presented at the MSRB’s Industry Knowledge Summer Speaker’s Series discussing the Role of Placement Agents and Solicitors.

Ms. DiMaria holds the Series 7 (General Securities Representative), 14 (Compliance Officer), 24 (General Securities Principal), 50 (Municipal Advisor Representative), 54 (Municipal Advisor Principal), 63 (Uniform Securities Agent State Law Exam), 65 (Investment Advisor Representative), 79 (investment Banking Representative) and 99 (Operations Professional) licenses.

Ms. DiMaria received a Bachelor of Science degree with a concentration in Finance from Binghamton University. She graduated as a Stern Scholar with a Master of Business Administration degree in Finance from NYU’s Leonard N. Stern School of Business and is a member of Beta Gamma Sigma, the premier honor society recognizing academic excellence in business studies.

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