Bates News  |  10-01-21

Bates Compliance Welcomes New Managing Director Kurt Wachholz

Bates welcomes Kurt Wachholz as a new Managing Director of Bates Compliance. With over 30 years of financial industry experience serving in a range of financial service firms, he works closely with firm officers to identify regulatory obligations, compliance risks, and program challenges.

Prior to joining Bates, Mr. Wachholz served as Executive Compliance Consultant at a national consulting firm supporting investment adviser, broker-dealer, and private fund compliance administration. His areas of service include the latest developments in compliance regulation, annual reviews, risk assessments, code of ethics and personal trading, third-party due diligence, business continuity planning, and cybersecurity. Mr. Wachholz also oversaw the 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. He is a member of IAA, NSCP, and is a contributing author and editorial board member for multiple financial compliance publications.

Full Bio

Bates Compliance delivers guidance and tailored compliance consulting solutions to our broker-dealer, investment adviser and hybrid firm clients on an as-needed or ongoing basis. Our team—made up of experienced senior compliance, legal and former regulatory professionals—drafts and tests policies, procedures, and supervisory and compliance processes, recommending and implementing changes based on leading practices to enhance compliance and supervisory systems and to remediate regulatory, litigation and internal audit findings.


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