Speakers

Kurt Wachholz

Director of Education and Executive Consultant

  • Company:National Regulatory Services, Inc.
  • Short Bio:Kurt Wachholz has been in the financial services industry for almost three decades. As an executive consultant for National Regulatory Services (NRS), Kurt counsels firms on code of ethics and compliance program administration. As director of education, Kurt oversees the design and operation of two compliance professional development programs: the Investment Adviser Core Compliance certificate program and the Investment Adviser Certified Compliance Professional® designation. Both professional development programs are co-sponsored with the Investment Adviser Association. Kurt has served on several industry organizations, including NSCP, in various capacities through the years. He has developed and taught “Ethics in Leadership”, a MBA program module for the Goizueta Business School at Emory University. He has developed and taught “Regulatory Jeopardy”, an elective course for the Securities Industry Institute® in partnership with SIFMA and the Wharton School at the University of Pennsylvania. He is a contributing author and member of the editorial board for Modern Compliance: Best Practices in Securities and Finance and an editorial board member for the Journal of Financial Compliance. Kurt earned his BA from the University of Wisconsin and his Investment Adviser Certified Compliance Professional designation from the Center for Compliance Professionals. Kurt has also been a CTO, COO, CCO, OSJ/registered principal, investment adviser representative, and licensed insurance agent.
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