Accordo Compliance Solutions
Mr. Masi is a founding partner of Accordo. He is a former FINRA Examiner with almost fifteen years of experience in financial services compliance and regulation. Prior to founding Accordo, he was a Senior Consultant with an international compliance consulting firm. Prior to that, he was an Associate Principal Examiner in the New York City District Office of the Financial Industry Regulatory Authority (FINRA) for over 6 years. During his FINRA tenure, Mr. Masi was responsible for scheduling and executing routine cycle and branch examinations, and specialized cause investigations of broker-dealers and registered representatives. Both FINRA and the SEC issued guidance on Master and Sub-Accounts as a result of his investigative work; FINRA Regulatory Notice 10-18 and SEC National Exam Risk Alert 2011-198. Prior to working at FINRA, Mr. Masi worked at Sonic Financial Technologies (currently ConvergEx), in New York, where he assisted the Compliance Department and Back Office. Additionally, he worked with the Institutional Sales Group and was the Project Manager responsible for the implementation of trading technology for institutional clients. Mr. Masi holds a Bachelor’s Degree in Finance and Accounting from Fordham University’s Gabelli School of Business, and is a participant in the CRCP FINRA Program at Wharton. He is also a member of the National Society of Compliance Professionals.