Sandra Diaz
About Sandra Diaz
Sandra Diaz serves as an Associate Principal Examiner at FINRA and has extensive experience in the financial services industry, including various roles at UBS and Merrill Lynch. She holds a Bachelor of Business Administration from Baruch College.
Work at FINRA
Sandra Diaz has been serving as an Associate Principal Examiner at FINRA since 2022. In this role, she is responsible for overseeing compliance and regulatory examinations within the financial services industry. Her work contributes to maintaining the integrity of the financial markets. She is based in Atlanta, Georgia, and has been with FINRA for two years.
Experience at UBS
Sandra Diaz has held multiple positions at UBS. She currently works as a Program Coordinator AD since 2020. Prior to this role, she served as a Branch Examiner from 2015 to 2017 and as a Senior Branch Examiner/Training Supervisor from 2017 to 2020 in Weehawken, NJ. Additionally, she worked as a Wealth Strategy Associate from 2012 to 2015 in New York, NY. Her diverse roles at UBS have equipped her with extensive knowledge of financial operations and compliance.
Previous Role at Merrill Lynch
Before her tenure at UBS, Sandra Diaz worked at Merrill Lynch as a Registered Client Associate from 2007 to 2012. In this position, she supported financial advisors and clients, gaining valuable experience in client relations and financial services. Her five years at Merrill Lynch laid a strong foundation for her subsequent roles in the financial sector.
Education and Expertise
Sandra Diaz earned a Bachelor of Business Administration (BBA) from Baruch College. This academic background provides her with a solid understanding of business principles and practices, which she applies in her professional roles within the financial services industry. Her education complements her extensive experience in compliance and regulatory examination.