Jeremy Bolf Email & Phone Number

Austin, Texas, United States

• Provide clients with expertise and guidance for annual reviews, risk assessments, and compliance program development, as well as policy & procedure strategy, design and implementation
• Assist clients with regulatory exams, including preparations, document production and response efforts
• Conduct compliance training and education for firms in order to enhance their compliance programs and advance the culture of compliance within the organization.

Austin, Texas Area

• Lead Texas investigator for multi-state investigation of $1.8B Ponzi-like private equity fraud
• Conducted audits and investigations of registered broker-dealers and investment advisers
• Performed analyses to determine compliance with applicable laws, statutes, and rules
• Examined audit documents for accuracy, client-related risks factors, and red flags
• Prepared reports and provide detailed recommendations to staff attorneys for administrative orders
• Remained abreast of federal regulations, statutes, polices, and procedures; adhering to the highest of professional standards and strict confidentiality

Austin, Texas Area

• Developed, designed, and distributed outreach communications with the public and industry professionals, interfacing with 200,000+ individuals and provided upward of 83,000 publications.
• Coordinated full design, implementation, and ongoing maintenance of agency education website
• Wrote and submitted 20 grant proposals, securing $680K
• Implemented new initiatives, and created comprehensive grant reports
• Participated in 95 community outreach events, speaking at 20+ events throughout Texas