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

We are seeking a Compliance Officerto join our team. In this role, your knowledge and experience will be applied to support Ziegler’s compliance efforts and provide you an opportunity to gain a broad range of experiences. The position reports directly to the Chief Compliance Officer. This role is a hybrid role requiring the associate to work from Ziegler's Chicago office three days a week.

Under general direction from the CCO, the 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 successful candidate will be responsible for the following:

• Conducts annual compliance examinations within the required timeframe (in accordance with the annual examination program and in conjunction with the CCO)
• Schedules and coordinates site and/or records exams
• Prepares for exams 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 Exam Program and protocols
• Communicates exam 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• Provides feedback to the CCO regarding outdated policies and procedures, recurring issues, etc.
• Conducts 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
• When exceptions are noted on a regular basis, provides recommendations to CCO and management for correction
• Constantly evaluates whether additions to the surveillance program and/or examination program are warranted due to the activity being monitored
• Reviews and approves advertising materials on behalf of Ziegler
• Work closely with marketing and management
• Develop and maintain a regular review of the websites
• Ensure filing with the FINRA is done in a timely manner and that comments generated by FINRA are appropriately resolved
• Monitor social media policy for Ziegler
• Monitor electronic communications for Ziegler
• Monitor firm Anti-Money Laundry policy, activities and regulatory reporting
• As requested, conducts and/or participates in training of all associates on compliance and/or industry-related topics
• Remains current on industry rules, regulations, and best practices as it relates to Ziegler’s businesses
• As needed, assist the CCO is responding to federal and state regulatory requests, examinations, or communications

PROFESSIONAL QUALIFICATIONS

The Compliance Officer will possess the following:

• Bachelors’ degree, preferred. However, substantial work experience in the financial services industry may be substituted for a four-year degree
• Highly preferred work experience in the financial, investment and private equity industries
• 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 security registrations
• Must be willing to obtain, Series 14 or 24, 50, 53, 54, 79 security registrations

PERSONAL QUALIFICATIONS

• Strong verbal and written communication skills
• Ability to interact effectively with all levels of management.
• Must be a team player, be able to work in a fast-paced environment, have good oral and written communication skills and handle multiple tasks efficiently.
• Detail orientation and commitment to accuracy
• Ability to multi-task, work accurately under pressure, meet deadlines
• Passion for a fast-paced work environment

EOE