Joseph Gunnar & Co., a broker-dealer, investment adviser, and investment bank, announced the appointment of James Mazzei as chief compliance officer.

Mazzei brings more than 20 years of experience to the role, most recently as vice president and supervisory manager at JPMorgan and prior to that as a New York Stock Exchange regulatory analyst at the Financial Industry Regulatory Authority (FINRA).

Earlier in his career, Mazzei held the position of senior vice president, compliance with Knight Equity Markets.

At Knight Equity he “performed trading surveillance and compliance duties to ensure the trading activity was consistent with applicable FINRA rules and regulations, protecting the firm against rule violations and fines,” according to his LinkedIn profile.

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