Apply on Employer Site

Ziegler · 8 hours ago

Senior Compliance Officer

Chicago, IL

Full-time

Onsite

Senior Level

$140K/yr - $160K/yr

Ziegler is a specialty investment bank based in Chicago that provides tailored financial solutions in various sectors. The Senior Compliance Officer will implement compliance strategies, manage junior staff, and ensure adherence to financial regulations while supporting the firm in maintaining its ethical standards.

AdviceBankingFinanceFinancial ServicesWealth Management

Responsibilities

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Provides feedback to the CCO regarding outdated policies and procedures, recurring issues, etc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

Qualification

Compliance examinationFinancial services lawsSeries 7 licenseSeries 52 licenseMS Office proficiencyInvestment industry experienceMulti-taskingVerbal communicationWritten communicationTeam playerDetail-oriented