Senior Compliance Officer

CORPORATE PROFILE

Ziegler is a specialty investment bank with unique expertise in complex credit structures and advisory services. Headquartered in Chicago with regional and branch offices throughout the U.S., Ziegler creates tailored financial solutions for our clientele. Ziegler is ranked nationally as one of the leading investment banking firms in our specialty sectors of healthcare, senior living, religion and education finance as well as corporate finance and FHA/HUD. Ziegler serves institutional investors through our capital markets professionals.

POSITION OVERVIEW

Under general direction from the Chief Compliance Officer (CCO), the Senior Compliance Officer implements strategies related to the compliance functions for the firm and its affiliates, implements policies and procedures required to maintain an acceptable level of regulatory compliance and prevention of financial loss, provides support for the firm and its affiliates through the identification and interpretation of the current financial services laws and regulations and any changes thereto, and completes testing and reporting to the CCO on the effectiveness of the compliance programs.

The Senior Compliance Officer will have a higher level of autonomy in decision-making and policy implementation. Additionally, they will be responsible for managing and mentoring junior compliance staff. With overview from the CCO they will be involved in advanced strategic planning and risk assessment as well as deal with high-level compliance matters and interactions with regulatory bodies.

The successful candidate will be responsible for the following:

• Conduct compliance examinations within the required timeframe in accordance with the annual examination program under the guidance of the CCO
• Schedules and coordinates office and records examinations
• Prepares for examinations by reviewing and analyzing system-generated reports, file data, and written supervisory procedures
• Performs reviews of supervisory, sales, and office support functions in accordance with annual examination program and protocols
• Communicates examination results, including presenting identified issues, to and preparing a written report for Management and the CCO, as necessary
• Provides feedback to the CCO regarding outdated policies and procedures, recurring issues, etc.
• Conduct ongoing surveillance of the business unit’s activities to ensure compliance with federal securities laws and regulations

• Reviews and analyzes business changes to determine if new or additional surveillance programs are necessary 
• Monitors regulatory issues to determine if Ziegler is engaged in activity that may come under increased regulatory scrutiny
• Provides ongoing feedback to the CCO on activities of the business unit
• Offers informed recommendations to CCO and management for correction when exceptions are noted on a regular basis
• Review and approve marketing materials on behalf of Ziegler
• Works closely with marketing and management to ensure communications with the public are compliant with the regulations
• Maintains a regular review of the broker-dealer’s website
• Monitor social media accounts of associates for adherence to Ziegler policies
• Surveil associates’ electronic communications to ensure compliance with regulatory requirements and Ziegler policies
• Lead the training of firm associates on compliance industry-related compliance topics commensurate with their role and responsibilities as necessary and when requested
• Remain current on industry rules, regulations, and best practices as it relates to Ziegler’s businesses
• Assist the CCO in responding to federal and state regulatory requests, examinations, or communications
• Train and mentor new compliance personnel

PROFESSIONAL QUALIFICATIONS

The Senior Compliance Officer will possess the following:

• Bachelor’s degree, preferred. However, substantial work experience in the financial services industry may be substituted for a four-year degree
• Work experience in the financial, investment and private equity industries is highly preferred
• Knowledge of and ability to effectively and efficiently research and interpret the laws and regulations affecting the securities industry 
• Proficiency in MS Office products
• Must have Series 7 and 52 licenses
• Must be willing to obtain Series 14 or 24, 50, 53, 54 and 79 licenses

PERSONAL QUALIFICATIONS

• Strong verbal and written communication skills
• Ability to interact effectively with all levels of management, including C-suite members
• Team player able to work in a fast-paced environment
• Detail-oriented with a commitment to accuracy
• Ability to multi-task efficiently, work accurately under pressure, and meet deadlines

This senior role offers an opportunity to shape the compliance culture of our investment banking division and contribute significantly to maintaining our reputation for ethical business practices. 

The applicable base salary range for this role is $140,000 to $160,000.

The base pay offered will be determined on factors such as experience, skills, training, location, license, and education. In addition to the base salary, this position is eligible for a performance-based bonus.

Ziegler is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.