- Audits and Investigations of Registered Broker-Dealers and Investment Advisers
- Advertising, Marketing, and Communications Review
- Code of Ethics and Compliance Program Enhancements and Training
- SEC, State, and Regulatory Agency Filings and Examinations
- Risk Assessments and Annual Audits
B.B.A. in Finance, Texas State University
Professional Affiliations & Certifications
Certified Fraud Examiner (CFE)
Jeremy Bolf is a former securities regulator with unique insight and experience in the compliance space. He brings an analytical and methodical approach to compliance solutions with a focus on effectively communicating and training clients on robust utilization of compliance tools. Mr. Bolf has developed a strong drive to adapt to the clients’ compliance needs and provide custom deliverables which will prepare each client with the most effective compliance solutions.
Mr. Bolf provides integral and comprehensive compliance insight and strategy as a Compliance Consultant at Core Compliance & Legal Services, Inc.℠ (“Core Compliance”). He is dedicated to assisting clients progress and enhance their compliance programs and advance the culture of compliance within the organization. Mr. Bolf also is passionate about risk mitigation and compliance training and uses his regulatory experience to educate firms on industry best practices and identification of regulatory risks.
With over a decade of experience in the industry, Mr. Bolf’s consultation efforts focus on annual reviews, risk assessments, compliance program development and policy and procedure strategy, design and implementation. He also assists clients with regulatory exams, including preparations, document production and response efforts.
Prior to joining Core Compliance, Mr. Bolf was a Financial Examiner with the Texas State Securities Board, Inspections & Compliance Division, where he conducted audits and investigations of registered broker-dealers and investment advisers. He also served as a specialist in the Investor Education Program at the Texas State Securities Board. In 2020, Mr. Bolf was the lead Texas investigator on a multi-jurisdictional investigation of a $1.8B private equity fraud that affected over 17,000 investors and resulted in the arrest by the FBI of three executives.