Joseph Montesano
About Joseph Montesano
Joseph Montesano serves as an Associate Principal Examiner at FINRA in Boston, Massachusetts, a position he has held since 2021. He holds an M.B.A. from Clark University and has extensive experience in compliance and financial planning, having worked at Ayco, a Goldman Sachs Company, and Santander Securities.
Current Role at FINRA
Joseph Montesano serves as an Associate Principal Examiner at FINRA, a role he has held since 2021. He is based in Boston, Massachusetts, where he is involved in examining and assessing compliance within the financial industry. His position entails evaluating the practices of firms to ensure adherence to regulatory standards.
Professional Experience at Ayco
Montesano has extensive experience with Ayco, a Goldman Sachs Company, where he held the position of Regional Compliance Director for several years. His tenure included roles in both the Dallas/Fort Worth Area and Saratoga Springs, NY. He also worked as a Financial Planner at Ayco from 2007 to 2010, contributing to financial planning and compliance efforts.
Previous Role at Santander Securities
Before joining FINRA, Montesano worked as a Senior Advisor in Compliance at Santander Securities for a brief period in 2020. His role involved ensuring compliance with regulatory requirements in the financial services sector while based in Dorchester, Massachusetts.
Education and Academic Background
Montesano earned his Master of Business Administration (M.B.A.) in Management & Global Business from Clark University, completing the program in 2007. He also holds a Bachelor's degree in Economics from the same institution, which he obtained in 2006. His educational background provides a strong foundation for his career in finance and compliance.