Joseph Komyati

Joseph Komyati

Mr. Komyati is a consultant with Bates Group Regulatory & Compliance Practice and is based in New Jersey. He uses his extensive experience in financial reporting and disclosure, balance sheet substantiation, global controls and internal audit to provide consulting services regarding financial systems and controls, quality assurance and related training programs. Mr. Komyati also is available through Bates to consult or testify as an expert witness regarding financial reporting and substantiation issues in financial service disputes.

Prior to joining Bates Group, Mr. Komyati was an Executive Director for Morgan Stanley in its Regulatory Controllers Division. During his 15 years with Morgan Stanley, he served as Global Department Lead for the Control Framework Group and led the firm’s development of its primary control processes for balance sheet substantiation and global compliance with Sarbanes Oxley. He was instrumental in helping to develop the firm’s Quality Assurance Department and implementing policies, procedures and training programs regarding Federal Reserve Board regulatory reporting and remediation requirements.

Before he joined Morgan Stanley, Mr. Komyati was a Vice President and Director of Internal Audit for Mabon Securities and a Vice President for Branch Audit Compliance at Merrill Lynch. At Mabon, he developed the firm’s annual Strategic Audit Plan and implemented policies and procedures to assess customer complaints. At Merrill Lynch, he led audits of 500 branch offices and regional operations centers before becoming Vice President, Customer Service. As Vice President, Customer Service at Merrill, Mr. Komyati developed programs to enhance customer retention and resolve customer complaints.


Credentials

EXPERIENCE

Bates Group, Affiliate Expert, October 2012 – Present

Morgan Stanley, Executive Director, Vice President, 1996 to 2012

Mabon Securities, Director of Internal Audit, 1991 to 1996

Merrill Lynch, Vice President, Customer Service, 1985 to 1990

Merrill Lynch, Vice President, Branch Audit Compliance, 1980 to 1985

EDUCATION

Pace UniversityMBA Finance

Baruch CollegeBBA Accounting

Automat:ee