oseph J. Mazza and Robert P. DeMuria, both former compliance auditors with National Futures Association, have been providing industry professionals, regulated by the CFTC and NFA, with superior service since 1994. The consulting business has grown in such a way over the last 20 years that CSI is known as the premier provider of compliance consulting for commodity futures professionals. Some of the largest FCMs have relied upon CSI to carry out many critical compliance functions. CSI currently fosters relationships with many FCMs, and services a myriad of introducing brokers, commodity pool operators, and commodity trading advisors.
One of the characteristics that makes our firm different than other compliance/accounting firms is the type of relationships we develop with our clients. Joe and Rob, along with their staff, work hard to develop friendly, long lasting, and trusting relationships with their clients. This type of culture has allowed CSI to grow into a firm that has provided services to hundreds of new and developing regulated entities. We still maintain business relationships with clients that started with us close to 20 years ago. We take pride in knowing that we responsible for their success.
Joseph J. Mazza, CPA
Joseph Mazza is the Vice President and co-founder of Compliance Supervisors International Inc. Joseph graduated New York University with a degree in accounting and pursued higher education and graduated Pace University with a Masters Degree in Business Administration, concentrating in Taxation. Joseph is a Certified Public Accountant and has passed the Series 3, Commodity Futures Examination and the Series 65, Uniform Investment Adviser Law Examination. He spent approximately 5 years as a compliance auditor at National Futures Association’s New York office. After working with NFA, Joseph held a regulatory accounting position at one of the largest FCMs and subsequently accepted a position as a compliance manager responsible for compliance over $10 billion in mutual funds. At CSI, Joseph is primarily responsible for Anti-money laundering audits, certified financial statement audits, on-site mock-NFA inspections, development of policies and procedures, commodity pool tax reporting, and disclosure document preparation.
Robert DeMuria is the President and co-founder of Compliance Supervisors International Inc. Robert graduated Pace University with a degree in Accounting. After graduating from Pace University, Robert worked at National Futures Association’s New York office for 7 years as a compliance auditor responsible for leading audit teams on FCM and large fund regulatory examinations. Robert then moved on to Prudential Investments initially as an internal audit manager responsible for assessing internal controls over large business units. He then moved on to a business administration manager in the mutual funds group. While working at Prudential Investments, Robert managed the performance presentation project that involved over 100 composites and 750 institutional accounts across a large number of investment management groups. Robert was also involved in developing and providing training over 300 investment auditors at Prudential Insurance Company of America. The training involved a newly enacted framework for internal control developed by the Committee of Sponsoring Organizations of the Treadway Commission (“COSO”) which is a joint initiative of five large private sector organizations that is dedicated to providing thought leadership through the development of frameworks and guidance on enterprise risk management, internal control and fraud deterrence. At CSI, Robert is primarily responsible for registration for new entities, compliance on-site inspections, fund administration, CTA performance reporting and verifications, AML audits, electronic trading platform audits, and disclosure document preparation.