Kurt Wachholz

Kurt Wachholz is a Managing Director with Bates Compliance, a consulting firm that provides regulatory consulting and education to compliance program professionals and their firms. Kurt has been an acting Chief Compliance Officer and OSJ. He has worked in the financial industry for over 30 years with experience in investment advisory, brokerage, private equity, retail banking, life and health insurance practice management and regulatory compliance program administration. While working in his various capacities, he gained practical experience in administering programs, developing professionals, utilizing technology, and leveraging systems and processes. Kurt has served on several industry organizations, including NSCP, in various capacities through the years. He has developed and taught courses for the IACCP designation program, "Ethics and Leadership" a MBA Program module for the Goizueta Business School at Emory University, and Regulatory Jeopardy, an elective course for the Securities Industry Institute in partnership with SIFMA and the Wharton School at the University of Pennsylvania. Kurt is a contributing author and member of the editorial board for Modern Compliance: Best Practices in Securities and Finance (Wolters Kluwer) and an editorial board member for the Journal of Financial Compliance (Stewart Publishing). He earned his IACCP designation as well as industry securities and insurance licenses and has a B.A. from the University of Wisconsin.

8c. ALL LAB – Integrating Ethical Awareness into the Compliance Program (Intermediate)