Rolf Mazo

Rolf Mazo

Surveillance Associate

Rolf is a member of the ARS Client Surveillance Team. Rolf’s responsibilities and experience is in performing different surveillance reviews, on behalf of ARS clients. Specifically concentrating on emails and general ledger reviews as well as municipal advisor contract compliance. Rolf is responsible for assisting in monitoring trading and sales activities for our broker dealer clients, including but not limited to suitability, mark-up’s and best execution reviews.

Rolf also assists in the registration process as well as provides ongoing support to our municipal advisory clients with regard to contracts, agreements, gifts and entertainment and political contributions.

Prior to ARS, Rolf worked primarily within the accounting department at several law firms. In his previous role as a Client Account Coordinator at Dechert LLP, Rolf managed the accounting process for several domestic and international clients, including the handling of monthly invoice audits, reconciliations, and rate agreements.

Rolf received his BS in Economics from Penn State University and is pursuing his MPA, with a focus in Public Policy Analysis and Evaluation, from Marxe School of Public and International Affairs at Baruch College.