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Joseph Komyati

Joseph Komyati

Mr. Komyati is a Bates Consulting Expert 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 Group 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.

Joseph is a consultant and subject matter expert in these Practice Areas and Services:



Bates Group LLC, Consulting Expert, 2012 - Present
Morgan Stanley, Executive Director, Vice President, 1996-2012
Mabon Securities, Vice President, Director of Internal Audit, 1991-1996
Merrill Lynch, 1980 – 1990; Vice President, Customer Service, 1985-1990; Vice President, Branch Audit Compliance, 1980-1985


Master of Business Administration (MBA), Finance, Pace University, New York, NY
Bachelor of Business Administration (BBA), Accounting, Baruch College, New York, NY

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.