Kurt Wachholz, IACCP

Kurt Wachholz is a Bates Compliance Managing Director with more than 30 years of financial industry experience and has served in a range of financial service firms of varying sizes. Based in South Carolina, Mr. Wachholz works closely with firm officers to identify regulatory obligations, compliance risks, and program challenges. In those engagements he conducts mock examinations, program reviews, and policy improvements. Areas of service include the implementation of new regulations, performance of annual reviews, assessment of business risks and conflicts of interest, third-party due diligence, business continuity planning, and cybersecurity. He has experience with both SEC and FINRA examinations, branch audits, program administration, technology integration, and staff development.

Prior to joining Bates, Mr. Wachholz served as Executive Compliance Consultant for the NRS, where he supported investment adviser, broker dealer, and private fund compliance administration. Mr. Wachholz also served as the Director of Education overseeing development and administration of the Investment Adviser Core Compliance certificate program and the Investment Adviser Certified Compliance Professional® (IACCP®) designation co-sponsored by the Investment Adviser Association. For nearly a decade before this, Mr. Wachholz was the owner and managing director of his own consulting firm, WellSpring Compliance, servicing clients that included broker-dealers, investment advisers, financial planners, insurance agencies, and private equity firms. Prior to this, he was the CCO for a holding company of financial service firms.