Jeb Wildschut

Jeb Wildschut is a Bates Testifying Expert and seasoned financial expert and compliance consultant with over 20+ years of experience advising organizations on regulatory compliance, financial investigations, securities practices, and portfolio management. Specializing in SEC and FINRA regulations, Jeb has a proven track record of helping clients navigate complex financial landscapes, identify risks, and implement robust compliance strategies.

Transitioning to the private sector, Jeb honed his financial expertise at leading institutions such as Bank of America, J.P. Morgan, and Unionbanc Investment Services. As a Premier Client Manager and Relationship Manager, Jeb worked closely with high-net-worth clients, providing strategic financial advice, portfolio management, and comprehensive risk assessments. His ability to assess financial performance and implement proactive measures to mitigate risks helped clients safeguard their investments and achieve their financial objectives. Jeb has 24+ years of experience in the financial services industry with securities, investments, retirement plans, and insurance and in a professional capacity as a registered representative, financial advisor, and investment fiduciary. 

In 2012, Jeb transitioned to a role at the Department of Labor as a Financial Investigator, where he led investigations into high-stakes financial crimes, including Ponzi schemes, fraud, and embezzlement. His expertise in auditing, forensic analysis, and cross-agency collaboration led to large recoveries and critical referrals to other law enforcement agencies. Jeb’s experience in complex criminal investigations and his ability to distill intricate financial data into actionable insights make him a trusted advisor for organizations seeking to address compliance challenges and mitigate financial risk.

Since 2015, Jeb has served as a Senior Securities Examiner with the Securities and Exchange Commission (SEC), where he led over 75 high-impact investigations and examinations in the financial services sector. In total, he has completed more then 150 examinations of SEC regulated firms. His deep understanding of private fund operations, trading practices, and regulatory requirements allows him to provide expert advice to financial institutions, investment firms, and corporate clients seeking to improve their compliance frameworks and regulatory processes. Jeb’s ability to conduct thorough audits, identify vulnerabilities, and implement effective controls positions him as a key partner for organizations looking to enhance their compliance and governance practices.

As a consultant, Jeb brings a wealth of knowledge in financial regulations, risk mitigation strategies, and audit procedures. He works closely with clients to assess their needs, identify gaps in their compliance programs, and provide tailored solutions that drive operational efficiency and regulatory adherence. Jeb’s extensive experience in cross-functional collaboration, training, and leadership further enables him to guide organizations through complex challenges and foster a culture of compliance across teams. Jeb is a Certified Financial Planner (CFP®) and Certified Fraud Examiner (CFE®)and has completed numerous specialized courses in financial regulations, complex securities investigations, and economic crime analysis. Jeb’s continuous professional development and expertise in financial compliance make him an invaluable resource for companies seeking strategic guidance in these areas.

Jeb provides securities consulting and expert witness services to law firms, financial institutions and investors. If you need a professional to conduct and/or improve your supervisory controls/written procedures, active-account reviews, branch inspections, Form ADV, complex-product suitability reviews or due diligence analysis Jeb is the consultant available to you.