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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: <ul><li>Conduct compliance examinations within the required timeframe in accordance with the annual examination program under the guidance of the CCO</li><li>Schedules and coordinates office and records examinations</li><li>Prepares for examinations by reviewing and analyzing system-generated reports, file data, and written supervisory procedures</li><li>Performs reviews of supervisory, sales, and office support functions in accordance with annual examination program and protocols</li><li>Communicates examination results, including presenting identified issues, to and preparing a written report for Management and the CCO, as necessary</li><li>Provides feedback to the CCO regarding outdated policies and procedures, recurring issues, etc.</li><li>Conduct ongoing surveillance of the business unit's activities to ensure compliance with federal securities laws and regulations</li></ul><ul><li>Reviews and analyzes business changes to determine if new or additional surveillance programs are necessary </li><li>Monitors regulatory issues to determine if Ziegler is engaged in activity that may come under increased regulatory scrutiny</li><li>Provides ongoing feedback to the CCO on activities of the business unit</li><li>Offers informed recommendations to CCO and management for correction when exceptions are noted on a regular basis</li><li>Review and approve marketing materials on behalf of Ziegler</li><li>Works closely with marketing and management to ensure communications with the public are compliant with the regulations</li><li>Maintains a regular review of the broker-dealer's website</li><li>Monitor social media accounts of associates for adherence to Ziegler policies</li><li>Surveil associates' electronic communications to ensure compliance with regulatory requirements and Ziegler policies</li><li>Lead the training of firm associates on compliance industry-related compliance topics commensurate with their role and responsibilities as necessary and when requested</li><li>Remain current on industry rules, regulations, and best practices as it relates to Ziegler's businesses</li><li>Assist the CCO in responding to federal and state regulatory requests, examinations, or communications</li><li>Train and mentor new compliance personnel</li></ul>PROFESSIONAL QUALIFICATIONS The Senior Compliance Officer will possess the following: <ul><li>Bachelor's degree, preferred. However, substantial work experience in the financial services industry may be substituted for a four-year degree</li><li>Work experience in the financial, investment and private equity industries is highly preferred</li><li>Knowledge of and ability to effectively and efficiently research and interpret the laws and regulations affecting the securities industry </li><li>Proficiency in MS Office products</li><li>Must have Series 7 and 52 licenses</li><li>Must be willing to obtain Series 14 or 24, 50, 53, 54 and 79 licenses</li></ul>PERSONAL QUALIFICATIONS <ul><li>Strong verbal and written communication skills</li><li>Ability to interact effectively with all levels of management, including C-suite members</li><li>Team player able to work in a fast-paced environment</li><li>Detail-oriented with a commitment to accuracy</li><li>Ability to multi-task efficiently, work accurately under pressure, and meet deadlines</li></ul>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.

Senior Compliance Officer

Position Description POSITION TITLE: AssistantCompliance Manager PAY RANGE/GRADE: $65,000 - $70,000(Commensurate w/experience) /Grade 6 ESSENTIAL FUNCTIONS:The assistant compliance manager plays a central role in assisting with compliance related functions pertaining to Bickerdike's rental housing portfolio in conjunction with the compliance manager and vice president of property management. In all instances, the assistant compliance managermust perform in accordance with and be committed to the Bickerdike Mission. The position requires the ability to direct, plan, organize, implement and execute tasks; analyze information, make informed decisions, use critical thinking and reasoning skills, and monitor and regulate behavior and emotions. A high level of supervisory and customer service skills are critical functions to this position. RESPONSIBILITIES: <ol><li>Responsible for assisting in internal tenant file audits, checking for completeness and accuracy and ensuring that files comply with the standardized tenant file organization structure. Work with property management staff to make corrections as required. </li><li>Review and approve move in applications and move out packets.</li><li>Work with property management staff to prepare for and participate in funder site visits and external file audits. Assist with the correction of files when required. </li><li>At the direction of the Compliance Manager assist with the coordination and gathering of resident file information for compliance reporting in conjunction with the asset management team.</li><li>Manage, maintain, and ensure proper utilization of property specific tenant screening/move-in and recertification electronic file templates.</li><li>Assist with the oversight of the management of all waitlists in the portfolio. </li><li>Oversee compliance requirements for CLIHTF and other funding programs as assigned. Work with property management staff and coordinate with asset management to ensure all requirements are met.</li><li>Assist and prepare for compliance site visits and file audits. Attend on-site file audits to represent compliance staff when necessary. </li><li>Coordinate, assist and carry out, as required, the preparation of compliance reports in conjunction with the Compliance Manager.</li><li>Update and maintain various property management forms and/or documents, as needed, at the direction of the compliance manager.</li><li>Assist with the development and implementationof new internal and external compliance policies and procedures, including document roll out and training. </li><li>Assist with OneSite system set up and maintenance to include document uploads, and field questions or concerns.</li><li>Manage file room utilization and file management, including but not limited to establishing and enforcing file room policies and procedures regarding storing, purging, and destroying documents.</li><li>Maintain working knowledge of affordable housing compliance best practices and participate in industry-wide advocacy efforts to streamline compliance and reporting and eliminate unnecessary burdens.</li><li>Serves as manager in the absence of the compliance manager.</li><li>Perform other duties and special projects as assigned.</li></ol> QUALIFICATIONS:Minimum 2 years of experience in/or related to affordable property management compliance. Experience and certification with tax credit and Section 8 a must. BA in a related field of study preferred. Computer literacy is required, specifically in MS Word, Excel (advanced level preferred) and Outlook for Windows. Experience with OneSite or other property management software is desired. Demonstrated ability to communicate professionally both verbally and in writing, organizational and interpersonal skills necessary. West Town, Humboldt Park, Logan Square, Hermosa, and Avondale residents preferred. PHYSICAL REQUIREMENTS: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodation may be made to enable persons with disabilities. While performing the duties of this job, the employee is regularly required to talk or hear, sit, use hands, reach with hands and arms, drive, stand, walk, lift and/or move up to 30 pounds. REPORTING RELATIONS:Under the direct supervision of the Compliance Manager. In the absence of this supervisor, shall report to the Vice President of Property Management, or as assigned. POSITION CLASSIFICATION: Full-Time, Exempt BENEFITS:Bickerdike provides a comprehensive Benefits package that includes: <ul><li>Paid Time Off (PTO) &amp; Paid Holidays</li><li>401K Matching at 100%</li><li>Medical Insurance (3 plans)</li><li>Dental Insurance (HMO/PPO) &amp; Vision Insurance</li><li>Long-Term and Short-Term Disability </li></ul>Bickerdike Redevelopment Corp. is an Equal Opportunity Employer and Drug Free Workplace January 2025

Assistant Compliance Manager

Methode Electronics, Inc. (NYSE: MEI) is seeking a Compliance Manager to play a pivotal role in designing, enabling, and executing programs related to Methode's Compliance &amp; Integrity Program. You will manage the operational aspects of our Compliance &amp; Integrity Program, including, but not limited to, policy development and management, allegation management and coordination, employee communications and training, process development, project management, monitoring and assurance, preparation of leadership briefing materials, documenting the program and its accomplishments over time, and partnering with key stakeholders to drive positive outcomes. This full-time onsite position is based at our Chicago Corporate office, located near O'Hare International Airport. We offer a competitive salary, a comprehensive benefits package, and access to an onsite gym. Currently, we are only considering local candidates. Responsibilities: At the direction of the Chief Compliance Officer and in partnership with various business and functional leaders: <ul><li>Governance &amp; Oversight: <ul><li>Support the Chief Compliance Officer with preparation of materials used to brief leadership and officers on the Compliance &amp; Integrity Program.</li><li>Develop and track key performance indicators and other metrics to help assess the effectiveness of the program.</li><li>Collaborate with global stakeholders to localize policies, communications, training content, process controls and other elements of the program.</li><li>Support the integration of acquired businesses into Methode's Compliance &amp; Integrity program.</li><li>Recommend and implement improvements to the company's compliance program to enhance effectiveness and efficiency.</li><li>Plan and execute select Compliance &amp; Integrity projects and initiatives.</li></ul></li></ul><ul><li>Investigations: <ul><li>Support the Chief Compliance Officer and investigators with triage and case management for Compliance &amp; Integrity related allegations.</li><li>Track organizational remediation efforts assigned as part of investigation outcomes to closure.</li><li>Develop reports of allegation management and investigation</li></ul></li></ul><ul><li>Training &amp; Communications: <ul><li>Develop and manage an annual communications plan that aligns to company priorities, new or renewed compliance initiatives, and addresses key risk areas through a variety of communication channels.</li><li>Develop and execute innovative communication, training, and awareness campaigns that address key risk areas and promote compliance, integrity, and a speak up culture.</li><li>Draft leader messages and tone-from-the-middle toolkits on key topics.</li><li>Design and deliver compliance training programs to enhance awareness and understanding of relevant regulations and company policies.</li></ul></li></ul><ul><li>Code and Policy Management: <ul><li>Drive periodic refresh of the Code of Business Conduct and key policies including language accommodations, version controls, and cross-functional reviews.</li><li>Develop, update and publish policies to address key and emerging risk areas.</li></ul></li></ul><ul><li>Internal Controls: <ul><li>Partner with control functions such as Finance and HR to design and implement internal controls within their processes or systems.</li><li>Administer and coordinate conflict of interest disclosure process.</li><li>Administer and oversee the Methode Compliance and Integrity office mailbox and websites (internal and external).</li><li>Provide guidance and direction to management and employees on compliance issues and policy questions.</li><li>Collaborate with other departments (e.g., Legal, HR, Operations) to ensure a cohesive approach to compliance across the organization and effective internal controls for key risks.</li></ul></li></ul><ul><li>Monitoring &amp; Assurance: <ul><li>Perform ongoing monitoring of program and partner, as needed, with audit resources to validate controls.</li><li>Partner with control functions such as Finance and HR to design and implement monitoring procedures for key internal controls within their processes or systems.</li></ul></li></ul><ul><li>Regulatory Awareness and Risk Assessment: <ul><li>Monitor changes in laws and regulations, assess the impact on the company, and implement necessary updates to compliance programs.</li><li>Identify potential areas of compliance vulnerability and risk; develop and implement corrective action plans for mitigation.</li><li>Stay current on emerging compliance trends and best practices within the manufacturing industry.</li></ul></li></ul><ul><li>Other duties as assigned, including administrative tasks beneficial to the operation of the Compliance and Integrity Program.</li></ul>The base pay hiring rate expected for this position is: $120,000-$162,000 annually. This position is eligible to participate in an incentive plan. Metrics and level of participation are determined annually. Qualifications: <ul><li>Bachelor's degree required.</li><li>Master's degree or relevant certification (e.g., Certified Compliance &amp; Ethics Professional (CCEP) preferred.</li><li>Minimum of 7-10 years of experience in a compliance role, with at least 3 years in a professional position within a global company.</li><li>Manufacturing industry and public company experience preferred; litigation and/or investigative experience preferred.</li><li>Proven experience in developing and managing compliance programs in a multinational environment.</li><li>In-depth knowledge of regulatory requirements applicable to a global manufacturer, including but not limited to trade restrictions, anti-corruption, data privacy, and environmental regulations.</li><li>Strong analytical and problem-solving skills, with the ability to interpret complex regulations and apply them to the company's operations.</li><li>Excellent communication and interpersonal skills, with the ability to influence and collaborate effectively across all levels of the organization.</li><li>Highly organized and internally motivated.</li><li>High ethical standards and a commitment to integrity and professionalism.</li><li>Ability to manage multiple priorities in a fast-paced environment.</li><li>Proficiency with MS Word, Excel and PowerPoint required.</li><li>Previous management experience preferred as this role may evolve over time.</li><li>Ability to occasionally lift and/or move up to 25 pounds.</li></ul>Benefits and Perks Methode offers US employees Medical, Dental, Vision, Hearing, Life &amp; Disability insurance, a wellness program, and time off benefits. Voluntary benefit plans include Accident, Hospital Indemnity and Pet Insurance. Methode provides an Employee Assistance Program, and participation in the Company's 401(k) plan which includes a company contribution. Base pay offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. Hourly employees will also be paid overtime pay when working qualifying overtime hours. Methode Electronics is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, genetic information and other legally protected characteristics per the EEO Poster available here . If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to <a href="mailto:recruiting@methode.com" target="_blank">recruiting@methode.com</a> or call (708) 867-6777 and let us know the nature of your request and your contact information.

Compliance Manager

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 Junior 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 (CCO). 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: <ul><li>Conduct compliance examinations within the required timeframe in accordance with the annual examination program under the guidance of the CCO</li><li>Prepares for exams by reviewing and analyzing system-generated reports, file data, and written supervisory procedures</li><li>Performs reviews of supervisory, sales, and office support functions in accordance with annual examination program and protocols</li><li>Communicates exam results, including presenting identified issues to and preparing a written report for the CCO, as necessary</li><li>Provides feedback to the CCO regarding outdated policies and procedures, recurring issues, etc.</li><li>Conduct ongoing surveillance of the broker dealer's activities to ensure compliance with federal securities laws and regulations</li><li>Reviews and analyzes business changes to determine if new or additional surveillance programs are necessary </li><li>Monitors regulatory issues to determine if Ziegler is engaged in activity that may come under increased regulatory scrutiny</li><li>Provides ongoing feedback to the CCO on activities of the business units</li><li>Review and approve marketing materials on behalf of Ziegler</li><li>Works closely with marketing to ensure communications with the public are compliant with the regulations</li><li>Maintains a regular review of the broker-dealer's website</li><li>Monitor social media accounts of associates for adherence to Ziegler policies </li><li>Surveil associates' electronic communications to ensure compliance with regulatory requirements and Ziegler policies</li><li>Remain current on industry rules, regulations, and best practices as it relates to Ziegler's businesses</li><li>Assist the CCO in responding to federal and state regulatory requests, examinations, or communications</li></ul>PROFESSIONAL QUALIFICATIONS The Junior Compliance Officer will possess the following: <ul><li>Bachelor's degree, preferred. However, substantial work experience in a highly regulated industry may be substituted for a four-year degree</li><li>Work experience in the financial, investment and private equity industries highly preferred</li><li>Knowledge of and ability to effectively and efficiently research and interpret the laws and regulations affecting the securities industry </li><li>Proficiency in MS Office products</li><li>Must have successfully passed the Series 7 licensing exam</li><li>Must be willing to obtain Series 52 and 79 licenses</li></ul>PERSONAL QUALIFICATIONS <ul><li>Strong verbal and written communication skills</li><li>Ability to interact effectively with all levels of management</li><li>Team player able to work in a fast-paced work environment</li><li>Detail oriented with a commitment to accuracy</li><li>Ability to multi-task efficiently, work accurately under pressure, and meet deadlines</li></ul>The applicable base salary range for this role is $80,000 to $100,000. 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.

4 Business Compliance Jobs in Chicago, IL, USA