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Manages customer complaints assuring accurate complaint description, root cause is identified and a meaningful preventative measure is documented. Determines if customer claims are valid based on complaint evidence and works to minimize NWF financial exposure. Essential Functions: <ul><li>Manages and resolves customer accommodations, complaints, inquiries, credit requests, returns and demands</li><li>Reviews actions as documented in the PSR are applicable and follow up with appropriate people and departments as necessary to facilitate closure</li><li>Determines when PSR information is complete and complaint can be closed</li><li>Administers the Supplier Deviation Reporting (SDR) process &amp; system</li><li>Adjudicates disagreements on complaint accountability to assure the correct department is identified</li><li>Determines validity and scope of claims are accurate to minimize NWF financial exposure</li><li>Prepares, processes and authorizes credits, returns, allowances and adjustments</li><li>Provides Accounting Department return or claims accrual information for period close</li><li>Monitors PSR Database for anomalies to assure accurate reporting</li><li>Review, manage and approve freight charges and assigns cost based on accountability</li><li>Provides back-up support when necessary to the Compliance Manager</li><li>Performs other duties as assigned</li></ul>Interaction: <ul><li>Works with all manufacturing facilities</li><li>Interacts with Plant Management including Plant Managers and Quality Managers</li><li>Interacts with all Corporate functions but primarily Accounting, Sales, R&amp;D, and QA</li><li>Occasionally interacts with Senior Management</li></ul>Qualifications: <ul><li>Minimum 1-2 years of experience in Quality or Compliance in a manufacturing industry</li><li>Knowledge of NWF manufacturing and products to enable investigation of complex issues</li><li>Strong verbal and written communication skills</li><li>Strong Analytical and problem solving skills</li><li>Multi-tasking and Organizational Abilities</li><li>Negotiating Skills</li><li>Decision Making</li><li>Ability to determine trends</li><li>Root Cause Analysis</li><li>General knowledge of Adobe applications, Microsoft 0ffice and Lotus Notes</li></ul>Benefits <ul><li>Medical Insurance</li><li>Prescription Drug Plan</li><li>Dental/Vision Insurance</li><li>Employee Incentive Plan</li><li>Flexible Spending Account</li><li>Cash Accumulation Plan-401K</li><li>Life/AD&amp;D Insurance</li><li>Short- Term/Long-Term Disability</li><li>Vacation Plan</li><li>Paid Holidays</li><li>Employee Assistance Program</li><li>Adoption Assistance Program</li><li>Tuition Reimbursement</li><li>Maternity/Paternity Leave</li><li>Pet Insurance</li></ul>$55,900-$65,000 a year

Customer Compliance Specialist

About Us: Founded more than 15 years ago and headquartered in Chicago, the DV Group of financial services firms has grown to more than 450 people operating throughout North America and in Europe. Since spinning out of a large brokerage firm in 2016, DV Trading has rapidly scaled as an independent proprietary trading firm utilizing its own capital, trading strategies, and risk management methodologies to provide liquidity to worldwide financial markets and hedging opportunities to commodity producers and users. Now, DV group affiliates include two broker dealers, a cryptocurrency market making firm, and a bourgeoning investment adviser. Overview:DV is looking for someone eager to join its Compliance Department and support an actively growing team. A successful candidate would service both the futures and equities trading businesses, including its broker-dealer DV Equities. Job Responsibilities: <ul><li>Compliance/trade practice automated surveillance (reviewing daily reports, responding to inquiries)</li><li>Onboarding new broker relationships</li><li>Responding to KYC requests</li><li>Drafting internal risk and compliance policies</li><li>Research emerging areas (e.g., cryptocurrency regulation, international/cross-border rules)</li></ul>Requirements: <ul><li>Bachelor's degree and 0-3 years of experience in a compliance and/or regulatory position</li><li>Possess excellent written and oral communication skills</li><li>Strong understanding of trading/financial services compliance</li><li>Possess a strong work ethic and be able to learn quickly in a fast paced, dynamic environment</li><li>Detail oriented, organized, and diligent, with the ability to maintain discretion of highly sensitive/confidential information</li><li>Maintain composure and communicate clearly when under pressure</li><li>High level of proficiency in Microsoft Office and Adobe Professional</li><li>Experience with broker-dealer and/or proprietary trading desired</li><li>Available to work 5 days per week at our Chicago office</li></ul>Annual compensation range $65K - $85K + discretionary bonus eligibility DV is not accepting unsolicited resumes from search firms. Only search firms with valid, written agreements with DV should submit resumes in response to DV's posted positions. All resumes submitted by search firms to DV via e-mail, the Internet, personal delivery, facsimile, or any other method without a valid written agreement shall be deemed the sole property of DV, and no fee will be paid in the event the candidate is hired by DV. DV is proud to be an equal opportunity employer and committed to creating an inclusive environment for all employees.

Compliance Analyst

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 Type: Early Childhood/Preschool/Early Childhood Compliance Manager for Systems Date Posted: 4/16/2025 Location: Joseph E. Hill Education Center Date Available: ASAP Closing Date: until filledThe Early Childhood Compliance Manager for Services is responsible for the assigned content areas (1) Eligibility, Recruitment, Selection, Enrollment, Attendance, (2) Program Structure (3) Education and Child Development Program Services (4) Health Program Services (5) Family and Community Engagement Program Services (6) Additional Services for Children with Disabilities (7) Transition Services (8) Program Management and Quality Improvement. Qualifications: <ul><li>A bachelor or master's degree in a related field.</li> <li>3-5 years of increasingly responsible experience in Early Childhood Education, Health, Family or Disability Services, grants management or program monitoring and evaluation. </li> <li>Experience in public school administration, public school district administration, or other large diverse organizations preferred. Administrative experience preferred. </li> <li>Experience with Early Childhood Programs serving children ages 0-5 such as Early Head Start, Head Start, Preschool for All, Prevention Initiative, Early Childhood Special Education, etc. preferred.</li> <li>Experience providing resources, coaching and related support to supervisors, frontline or related staff. </li> <li>Knowledge of Head Start Program Performance Standards, Preschool for All and Prevention Initiative Implementation Manuals, Department of Children and Families (DCFS) guidelines or other related regulations, preferred.</li> </ul> Benefits Include: <ul><li>Medical and Dental Insurance</li> <li>Illinois Municipal Retirement Fund pension plan</li> <li>Life Insurance and Long Term Disability</li> <li>Flexible Benefits Plan</li> <li>Sick Days</li> <li>Personal Days</li> <li>Vacation Days</li> <li>Employee Assistance Program</li> <li>Direct Deposit</li> </ul>Terms Of Employment: Twelve-month year (July 1 to June 30) Salary and Benefits: Salary commensurate with experience Competitive benefits package, including district paid pension Application Process: Apply online at <a href="http://www.district65.net" target="_blank">www.district65.net</a> Selection Process: Qualified applicants will be contacted for an interview. Every Child, Every Day, Whatever It Takes Attachment(s):<ul><li>Job Description - Early Childhood Compliance Manager for SERVICES - July 1 2021 - FINAL.pdf</li></ul>

4 Full time Jobs in Chicago, IL, USA