Senior Compliance Officer

CORPORATE PROFILEZiegler 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 OVERVIEWUnder 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.ResponsibilitiesConduct compliance examinations within the required timeframe in accordance with the annual examination program under the guidance of the CCOSchedules and coordinates office and records examinationsPrepares for examinations by reviewing and analyzing system-generated reports, file data, and written supervisory proceduresPerforms reviews of supervisory, sales, and office support functions in accordance with annual examination program and protocolsCommunicates examination results, including presenting identified issues, to and preparing a written report for Management and the CCO, as necessaryProvides feedback to the CCO regarding outdated policies and procedures, recurring issues, etc.Conduct ongoing surveillance of the business unit’s activities to ensure compliance with federal securities laws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 regulationsReviews and analyzes business changes to determine if new or additional surveillance programs are necessaryMonitors regulatory issues to determine if Ziegler is engaged in activity that may come under increased regulatory scrutinyProvides ongoing feedback to the CCO on activities of the business unitOffers informed recommendations to CCO and management for correction when exceptions are noted on a regular basisReview and approve marketing materials on behalf of ZieglerWorks closely with marketing and management to ensure communications with the public are compliant with the regulationsMaintains a regular review of the broker-dealer’s websiteMonitor social media accounts of associates for adherence to Ziegler policiesSurveil associates’ electronic communications to ensure compliance with regulatory requirements and Ziegler policiesLead the training of firm associates on compliance industry-related compliance topics commensurate with their role and responsibilities as necessary and when requestedRemain current on industry rules, regulations, and best practices as it relates to Ziegler’s businessesAssist the CCO in responding to federal and state regulatory requests, examinations, or communicationsTrain and mentor new compliance personnelPROFESSIONAL QUALIFICATIONSThe 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 degreeWork experience in the financial, investment and private equity industries is highly preferredKnowledge of and ability to effectively and efficiently research and interpret the laws and regulations affecting the securities industryProficiency in MS Office productsMust have Series 7 and 52 licensesMust be willing to obtain Series 14 or 24, 50, 53, 54 and 79 licensesPERSONAL QUALIFICATIONSStrong verbal and written communication skillsAbility to interact effectively with all levels of management, including C-suite membersTeam player able to work in a fast-paced environmentDetail-oriented with a commitment to accuracyAbility to multi-task efficiently, work accurately under pressure, and meet deadlinesThis 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. #J-18808-Ljbffr