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Anticipated End Date: 2025-05-02 Position Title: Compliance Manager Job Description: Compliance Manager Location: This position will work a hybrid model (remote and office). The Ideal candidate will live within 50 miles of one of our Elevance Health PulsePoint locations. The Compliance Manager will be responsible for managing foundational and strategic compliance responsibilities with consistent excellence that support the team and management. How you will make an impact: <ul><li>Manage/oversee projects, initiatives, regulatory audits or exams, internal audits, accreditations, on-site reviews, risk assessments; audit planning, conducting mock audits, conducting audit training, managing audit evidence preparation, assessing audit preparedness.</li><li>Establish project plans, gap analysis, milestone dates, and other significant aspects, and leadership updates.</li><li>Maintain knowledge of laws, regulations, company strategies to assess impact, and consult with clients as subject matter expert.</li><li>Conducts complex investigations, document findings, and ensure corrective actions are made.</li><li>Interface with external clients, regulators, vendors, supplier; internal stakeholders, high level of management.</li></ul>Minimum Requirements: Requires a BA/BS and minimum of 6 years health care, regulatory, ethics, compliance or privacy experience; or any combination of education and experience, which would provide an equivalent background. Preferred Skills, Capabilities, and Experiences: <ul><li>MS/MBA/JD or professional designation preferred.</li><li>Regulatory compliance experience strongly preferred.</li><li>Medicare, Medicaid, and/or Commercial experience strongly preferred.</li><li>Regulatory analysis experience preferred.</li><li>Healthcare industry experience preferred. </li></ul>For candidates working in person or remotely in the below location(s), the salary* range for this specific position is $82,612 to $143,484. Locations: Illinois In addition to your salary, Elevance Health offers benefits such as, a comprehensive benefits package, incentive and recognition programs, equity stock purchase and 401k contribution (all benefits are subject to eligibility requirements). The salary offered for this specific position is based on a number of legitimate, non-discriminatory factors set by the Company. The Company is fully committed to ensuring equal pay opportunities for equal work regardless of gender, race, or any other category protected by federal, state, and local pay equity laws. * The salary range is the range Elevance Health in good faith believes is the range of possible compensation for this role at the time of this posting. This range may be modified in the future and actual compensation may vary from posting based on geographic location, work experience, education and/or skill level. Even within the range, the actual compensation will vary depending on the above factors as well as market/business considerations. No amount is considered to be wages or compensation until such amount is earned, vested, and determinable under the terms and conditions of the applicable policies and plans. The amount and availability of any bonus, commission, benefits, or any other form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law. Job Level: Non-Management Exempt Workshift: Job Family: FRD &gt; Compliance Please be advised that Elevance Health only accepts resumes for compensation from agencies that have a signed agreement with Elevance Health. Any unsolicited resumes, including those submitted to hiring managers, are deemed to be the property of Elevance Health. Who We Are Elevance Health is a health company dedicated to improving lives and communities - and making healthcare simpler. We are a Fortune 25 company with a longstanding history in the healthcare industry, looking for leaders at all levels of the organization who are passionate about making an impact on our members and the communities we serve. How We Work At Elevance Health, we are creating a culture that is designed to advance our strategy but will also lead to personal and professional growth for our associates. Our values and behaviors are the root of our culture. They are how we achieve our strategy, power our business outcomes and drive our shared success - for our consumers, our associates, our communities and our business. We offer a range of market-competitive total rewards that include merit increases, paid holidays, Paid Time Off, and incentive bonus programs (unless covered by a collective bargaining agreement), medical, dental, vision, short and long term disability benefits, 401(k) +match, stock purchase plan, life insurance, wellness programs and financial education resources, to name a few. Elevance Health operates in a Hybrid Workforce Strategy. Unless specified as primarily virtual by the hiring manager, associates are required to work at an Elevance Health location at least once per week, and potentially several times per week. Specific requirements and expectations for time onsite will be discussed as part of the hiring process. Candidates must reside within 50 miles or 1-hour commute each way of a relevant Elevance Health location. The health of our associates and communities is a top priority for Elevance Health. We require all new candidates in certain patient/member-facing roles to become vaccinated against COVID-19 and Influenza. If you are not vaccinated, your offer will be rescinded unless you provide an acceptable explanation. Elevance Health will also follow all relevant federal, state and local laws. Elevance Health is an Equal Employment Opportunity employer, and all qualified applicants will receive consideration for employment without regard to age, citizenship status, color, creed, disability, ethnicity, genetic information, gender (including gender identity and gender expression), marital status, national origin, race, religion, sex, sexual orientation, veteran status or any other status or condition protected by applicable federal, state, or local laws. Applicants who require accommodation to participate in the job application process may contact <a href="mailto:elevancehealthjobssupport@elevancehealth.com" target="_blank">elevancehealthjobssupport@elevancehealth.com</a> for assistance. Qualified applicants with arrest or conviction records will be considered for employment in accordance with all federal, state, and local laws, including, but not limited to, the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act.

Compliance Manager

Product Owner - Financial Risk Management Banking &amp; Financial Services Consulting Chicago ABOUT US Cognizant is one of the world's leading professional services companies, transforming clients' business, operating, and technology models for the digital era. Our unique industry-based, consultative approach helps clients envision, build, and run more innovative and efficient businesses. Learn how Cognizant helps clients lead with digital at <a href="http://www.cognizant.com" target="_blank">www.cognizant.com</a> . COGNIZANT CONSULTING Within Cognizant is Cognizant Consulting, a global consulting organization delivering strategic and domain consulting through industry and technology expertise. With over 6,000 consultants worldwide, Cognizant offers high-value consulting services that improve business performance and operational productivity, lower operational expenses and enhance overall performance. Clients draw upon our deep industry expertise, program and change management capabilities, and analytical objectivity to help improve business productivity, drive technology-enabled business transformation and increase shareholder value. We provide several Business/IT Consulting Services including Business Strategy, IT Strategy &amp; Roadmap Development, Process Re-Engineering &amp; Transformation, Enterprise Architecture &amp; Technology Selection, and Domain Solutions. The Cognizant Consulting team is a high performing organization that is continually expanding our client base and increasingly being recommended by analysts such as Forrester and Gartner. And we're growing! The Role Our BANKING &amp; FINANCIAL SERVICES CONSULTING PRACTICE group is looking for a Product Owner with experience in Financial Markets. We're looking for Product Owners who can deliver within Cognizant's Five Pillars of Consulting Excellence, which are: 1) Project Execution, 2) Expertise, 3) Business Development, 4) Practice Development, &amp; 5) People Development. As a Product Owner, this means leading a team of Consultants through a client-facing engagement, managing escalations, and serving as a the owner of a workstream; maintaining expertise in your domain; meaningfully contributing to the sales process through a mix of RPI development, client presentations, financial modeling, pricing strategy, and flawless delivery; creating service offerings and/or client partner training materials; and contributing to People Care initiatives, recruiting, and mentoring. In addition to enabling consulting excellence through the Five Pillars of Consulting, the specific requirements for this position are below. Our solutions are in demand and we're passionate about making a difference. If you have experience with the above, are a selfless leader, and are committed to client-facing environment; if you want to grow your career with a team that wants to build something great together, we want to hear from you! Apply now! Responsibilities • Create product backlog for financial risk systems and refine it to ensure its ready for development • Understand regulatory requirements and drivers impacting development goals and plans • Evaluate product changes and recommend needed process and system changes • Collaborate with cross-functional teams to define and prioritize the product backlog • Collaborate with technology partners and teams to drive strategic plans for system development, integration and deployment • Work with the Project Owners/Managers, Technology Lead, and Scrum Master to ensure that the teams are following agile methodology and that any issues are addressed in a timely manner • Collaborate with Model Risk Management and Quantitative Risk Management staff to ensure all models and methodologies are appropriately validated as part of any change management or annual validation activities • Understand regulatory requirements and drivers impacting development goals and plans • Evaluate product changes and recommend needed process and system changes • Collaborate with cross-functional teams to define and prioritize the product backlog • Refine the product backlog to ensure that it is ready for development • Seek to optimize product delivery in the most cost-effective manner Qualifications • 10+ years of experience as a Product Owner in financial risk domain focusing on credit, market or counterparty risk • Strong understanding of Agile product management methodologies and product development processes • Experience with central counter-party clearing, settlement of derivatives, financial risk management and regulated capital markets infrastructure • General securities markets, derivatives knowledge required • Strong knowledge in multiple asset classes (equities, interest rates, volatility, commodities, foreign currencies, etc.) • Excellent communication, collaboration, and presentation skills • Ability to work effectively with and lead cross-functional teams • Strong analytical and problem-solving skills • Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports • Ability to prioritize and manage multiple tasks and projects simultaneously • Ability to work independently in a fast-paced, dynamic environment • Must be able to work under deadlines and manage multiple tasks • Self-directed; Ability to work both independently with minimal direction or oversight in a team-oriented, collaborative environment • Proficiency using Jira, Confluence, Tableau and Microsoft Office applications. • Familiarity with relational databases and ability to modify &amp; execute SQL using appropriate query tools a plus • Willing to work at the client location 3-4 times a week. Work Authorization • Cognizant will only consider applicants for this position who are legally authorized to work in the United States without company sponsorship (H-1B, L-1B, L-1A, etc.) The Cognizant community: We are a high caliber team who appreciate and support one another. Our people uphold an energetic, collaborative and inclusive workplace where everyone can thrive. <ul> <li>Cognizant is a global community with more than 300,000 associates around the world.</li> <li>We don't just dream of a better way - we make it happen.</li> <li>We take care of our people, clients, company, communities and climate by doing what's right.</li> <li>We foster an innovative environment where you can build the career path that's right for you.</li> </ul>About us: Cognizant is one of the world's leading professional services companies, transforming clients' business, operating, and technology models for the digital era. Our unique industry-based, consultative approach helps clients envision, build, and run more innovative and efficient businesses. Headquartered in the U.S., Cognizant (a member of the NASDAQ-100 and one of Forbes World's Best Employers 2024) is consistently listed among the most admired companies in the world. Learn how Cognizant helps clients lead with digital at <a href="http://www.cognizant.com" target="_blank">www.cognizant.com</a> Cognizant is an equal opportunity employer. Your application and candidacy will not be considered based on race, color, sex, religion, creed, sexual orientation, gender identity, national origin, disability, genetic information, pregnancy, veteran status or any other characteristic protected by federal, state or local laws. Disclaimer: Compensation information is accurate as of the date of this posting. Cognizant reserves the right to modify this information at any time, subject to applicable law. Applicants may be required to attend interviews in person or by video conference. In addition, candidates may be required to present their current state or government issued ID during each interview.

PRODUCT OWNER - FINANCIAL RISK MANAGEMENT

Consulting Analyst - Financial Risk Manager Banking and Financial Services Chicago ABOUT US Cognizant is one of the world's leading professional services companies, transforming clients' business, operating, and technology models for the digital era. Our unique industry-based, consultative approach helps clients envision, build, and run more innovative and efficient businesses. Learn how Cognizant helps clients lead with digital at <a href="http://www.cognizant.com" target="_blank">www.cognizant.com</a> . COGNIZANT CONSULTING Within Cognizant is Cognizant Consulting, a global consulting organization delivering strategic and domain consulting through industry and technology expertise. With over 6,000 consultants worldwide, Cognizant offers high-value consulting services that improve business performance and operational productivity, lower operational expenses and enhance overall performance. Clients draw upon our deep industry expertise, program and change management capabilities, and analytical objectivity to help improve business productivity, drive technology-enabled business transformation and increase shareholder value. We provide several Business/IT Consulting Services including Business Strategy, IT Strategy &amp; Roadmap Development, Process Re-Engineering &amp; Transformation, Enterprise Architecture &amp; Technology Selection, and Domain Solutions. The Cognizant Consulting team is a high performing organization that is continually expanding our client base and increasingly being recommended by analysts such as Forrester and Gartner. And we're growing! The Role Our BANKING &amp; FINANCIAL SERVICES CONSULTING PRACTICE group is looking for a Consulting Analyst to join our journey. We're looking for Consultants who can deliver within Cognizant's Five Pillars of Consulting: 1) Project Execution, 2) Expertise, 3) Business Development, 4) Practice Development, &amp; 5) People Development. As a Consulting Analyst, this means creating high-quality client deliverables and taking ownership (with supervision) of producing client content and meeting client expectations; developing an expertise in your functional area, including obtaining certifications; contributing to Client Satisfaction and/or RFPs; supporting leadership and contributing to content development for service offerings; and participating in People Care initiatives and always exhibiting personal leadership. In addition to enabling consulting excellence through the Five Pillars of Consulting, the specific requirements for this position are below. Our solutions are in demand and we're passionate about making a difference. If you have experience with the above, are a selfless leader, and are committed to client-facing environment; if you want to grow your career with a team that wants to build something great together, we want to hear from you! Apply now! Responsibilities • Exercise responsibility for one or more components of a consulting engagement Support or drive data-driven identification and analysis of solution requirement • Conduct workshops with clients to elicit requirements as the basis for creating business requirements documents and user stories • Monitor solution quality compliance to standards and conduct or facilitate structured solution walkthroughs. • The Tech Business Systems Analyst transforms client functional requirements into technical specifications. • S/he works in conjunction with Business &amp; Technology leads to document appropriate use-cases and assist with conducting testing with teams. • Responsible for ensuring specifications are complete, comprehensive, technically feasible, in alignment with system capabilities, conform to IT and regulatory standards, and follow consistent documentation practices. • Conducts requirements peer-reviews to ensure technical specification requirements correctly interpreted. Documents technical designs, tracks requirement deliverables, and assists in preparation use case test. • Assists project team in the execution of formal testing scripts and oversees approval for user acceptance plans. • As technical liaison confirms project scoping for client solutions; communicates effectively to identify options, explain issues, recommend solutions, manage risks, and reduce escalations during project design and delivery. Qualifications • Masters or MBA Degree a plus • The candidate should have 6+ years of experience in Risk Management - Stress testing, back testing, margin computation. • Financial Risk Management (FRM) certified candidates preferred. • Solution acceptance testing experience (functional, integration, manual, automation) • Experience with program quality frameworks, methods, and tools (e.g., Six Sigma) • Experience in working in Agile environments, and proficiency with requirements collection tools (e.g., JIRA, R4J, RRC, and so on) • Exposure to cloud/digital projects • Exposure to international clients across various geographical locations • Experience in working on complex multi-team projects using an onsite / offshore model • Personal leadership and a desire to create a culture that enables exceptional outcomes • The embodiment of Cognizant's Core Values of: Start with a point of view; Seek data, build knowledge; Always strive, never settle; Work as one; Create conditions for everyone to thrive; Do the right thing, the right way. Work Authorization • Cognizant will only consider applicants for this position who are legally authorized to work in the United States without company sponsorship (H-1B, L-1B, L-1A, etc.) The Cognizant community: We are a high caliber team who appreciate and support one another. Our people uphold an energetic, collaborative and inclusive workplace where everyone can thrive. <ul> <li>Cognizant is a global community with more than 300,000 associates around the world.</li> <li>We don't just dream of a better way - we make it happen.</li> <li>We take care of our people, clients, company, communities and climate by doing what's right.</li> <li>We foster an innovative environment where you can build the career path that's right for you.</li> </ul>About us: Cognizant is one of the world's leading professional services companies, transforming clients' business, operating, and technology models for the digital era. Our unique industry-based, consultative approach helps clients envision, build, and run more innovative and efficient businesses. Headquartered in the U.S., Cognizant (a member of the NASDAQ-100 and one of Forbes World's Best Employers 2024) is consistently listed among the most admired companies in the world. Learn how Cognizant helps clients lead with digital at <a href="http://www.cognizant.com" target="_blank">www.cognizant.com</a> Cognizant is an equal opportunity employer. Your application and candidacy will not be considered based on race, color, sex, religion, creed, sexual orientation, gender identity, national origin, disability, genetic information, pregnancy, veteran status or any other characteristic protected by federal, state or local laws. Disclaimer: Compensation information is accurate as of the date of this posting. Cognizant reserves the right to modify this information at any time, subject to applicable law. Applicants may be required to attend interviews in person or by video conference. In addition, candidates may be required to present their current state or government issued ID during each interview.

Consulting Analyst - Financial Risk Management

We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute. To learn more about CIBC, please visit CIBC.com The US Risk Management function carries out the mandate of CIBC Risk Management at the regional level, ensuring compliance with applicable Parent Bank policies, while complying with local laws and regulations governing the Region and its individual legal entities. Enterprise Risk Management Programs, US Region ("ERM Programs") develops, implements, and maintains a risk management governance framework and related policies and procedures for the US Region and its individual legal entities. This involves the regional implementation of global CIBC programs, where applicable, and includes: US Risk Management Framework and Policies, US Risk Appetite, Identification of Material and Emerging risks, Recovery and Resolution Planning, Stress Testing Governance, and Risk Culture. What You'll be Doing The Policy Governance Manager, US ERM Programs is accountable for supporting the Head of ERM Programs in the following activities: <ul><li>Risk Policy and Governance - maintain and execute controls over the policy process.</li><li>Risk Reporting - prepare presentations and reports for senior management and boards.</li><li>Governance, Risk, and Controls (GRC) - maintain an integrated data management (GRC) system.</li></ul>How You'll Succeed <ul><li>Taking on the role of the US Region Policy Administrator, the incumbent will: <ul><li>Maintain a US policy database as part of an integrated GRC system, ensuring policy metadata is up-to-date and accurate.</li><li>Perform ongoing validation of policy activity, approvals, and plans with policy owners.</li><li>Administer the policy control process, ensuring policies are tracked, centrally published, and registered with ERM Programs.</li><li>Advise policy owners on adherence to CIBC's Policy Framework and the associated US supplement.</li></ul></li><li>Act as the primary US liaison with the global Risk Policy and Governance group to ensure US compliance with the CIBC Policy Framework, and centrally track exceptions for the CIBC Policy Framework.</li><li>Manage the US Supplement to the CIBC Policy Framework, and develop and maintain associated guides and standards.</li><li>Design and deliver training to policy contacts related to policy governance.</li><li>Administer and support the activities and operation of the US Region Policy Council.</li><li>Manage other ERM policies, procedures, and standards such as those related to Risk Appetite and Risk Management Frameworks, as well as policies for various ERM Programs such as resolution planning and data and reporting governance (BCBS 239).</li><li>Support the ERM team in the preparation of various presentations, updates, and reports for senior management and boards.</li><li>Maintain an integrated data management (GRC) system including up-to-date and accurate: <ul><li>Registry of regulatory requirements and associated links to risk policies and reports, etc</li><li>List of US committees, memberships, and committee charter repository</li></ul></li></ul>Compliance Requirements/Responsibilities <ul><li>As an employee of CIBC, the incumbent must comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls.</li></ul>Authorities/Decision Rights <ul><li>As a key contributor to the business unit, this job has the authority to recommend changes to business processes in order to enhance operational efficiency and effectiveness.</li></ul>Who You Are Values matter to you. You bring your real self to work and you live our values - trust, teamwork and accountability. You can demonstrate experience with: <ul><li>Successful candidates must exhibit CIBC's values of trust, team work, and accountability</li><li>Preferred candidate has 5-7 years of experience in financial services or related work experience, preferably with experience in policies and governance or internal audit or related fields</li><li>Undergraduate degree</li><li>Technical skills in the Microsoft Office suite, including Microsoft Access preferred</li><li>Excellent oral and written communication skills</li><li>Strong research skills and analytical capabilities</li><li>Strong relationship management skills and team-orientation</li><li>Superior time management skills, with ability to effectively prioritize</li><li>You embrace and champion change. You'll continuously evolve your thinking and the way you work in order to deliver your best.</li><li>Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.</li><li>You're digitally savvy. You seek out innovative solutions and embrace evolving technologies. You can easily adapt to new tools and trends.</li><li>You're driven by collective success. You know that collaboration can transform a good idea into a great one. You understand the power of an inclusive team that enjoys working together to create a shared vision.</li></ul>California residents - your privacy rights regarding your actual or prospective employment At CIBC, we offer a competitive total rewards package. This role has an expected salary range of $135,000.00 - $189,000.00 for the market based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which may also include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employee's needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave and Vacation), Holidays and 401(k), in addition to other special perks reserved for our team members. This position does not offer visa sponsorship. What CIBC Offers At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck. <ul><li>We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.</li><li>Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.</li><li>We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.</li></ul>*Subject to plan and program terms and conditions What you need to know <ul><li>CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact <a href="mailto:Mailbox.careers-carrieres@cibc.com" target="_blank">Mailbox.careers-carrieres@cibc.com</a></li><li>You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.</li><li>We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.</li></ul>Job Location IL-120 S LaSalle St Employment Type Regular Weekly Hours 40 Skills Policy Frameworks, Policy Governance

Director, Policy Governance Manager, US Enterprise Risk Management

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

We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute. To learn more about CIBC, please visit CIBC.com What You'll Do The Operational Risk Portfolio Manager (PM) acts as a second line of defense in ensuring that the bank's operational risk and control frameworks, policies, standards and procedures are understood and used effectively to manage operational risk. The PM provides oversight and effective challenge by working with business leaders in their respective portfolio in all aspects of operational risk management (process, people, and systems) and control framework and policy requirements. This includes advising the assigned lines of business in the identification, measurement, mitigation and monitoring of operational risk and providing effective challenge in their mitigation strategies/activities. How You'll Succeed The Operations PM, US ORM will be responsible for, but not limited to the following activities: <ul><li>Fulfill the role of CIBC's second line of defense in the management of operational risk by challenging the business lines' operational and control inputs and outputs. This is a key role in the three lines of defense model and it requires a deep understanding of the assigned business as well as the ability to challenge senior employees of the Bank in a constructive manner.</li><li>Provide ongoing oversight and risk assessment of CIBC's operational risk exposure through the facilitation and support of management's use of various risk and control identification and assessment tools (i.e. external event reviews, incident reports, change initiatives, risk and control self-assessments). The operational risk and control framework and policies tools are a key enabler of CIBC's operational risk program and as such, the proper application and oversight of the tools are an important part of CIBC being able to manage and monitor its operational risks. The role is expected to provide input into refining and improving the tools as part of a continuous improvement process.</li><li>Provide and oversee independent challenge of business line processes, risks and controls (e.g. through portfolio reviews and other operational risk programs, processes and tools).</li><li>Collaborate with the first line of defense in the management, identification and reporting of issues, incidents and losses.</li><li>Oversee Control and Deficiency Management. The role is also expected to encourage LOB identification and remediation of deficiencies and to ensure familiarity and appropriateness of new key controls and deficiencies and deactivation of redundant key controls. Proactively working with business leaders in identifying and challenging action plans in closing gaps/deficiencies and/or risk mitigation plans in minimizing CIBC's risk exposures.</li><li>Provide operational risk and control framework and policies related advice to the first line of defense to enhance the management of operational risk and control, including advising on risk mitigation strategies.</li><li>Monitoring and reporting of emerging risks and external events and assessing the applicability and potential impacts to the portfolio. Collaborate with Enterprise Risk Management in the effective reporting of Risk Appetite Metrics.</li><li>Partnering with the internal stakeholders and Executive Team members on matters related to the overall strategic direction of the business.</li><li>Staying current of regulatory changes and industry leading practices in operational risk and control frameworks to ensure CIBC operational risk management meets regulatory expectations and is effective and efficient.</li></ul>Who You Are <ul><li>Bachelor's degree preferably in business, economics, or finance.</li><li>10 years of relevant work experience in the financial industry is desired. Large Financial Institution or Large Foreign Banking Organization second line of defense experience is preferred.</li><li>Desired certifications include Certified Enterprise Risk Professional, Faster Payments Professional, and Accredited Payments Risk Professional.</li><li>Excellent analytical, communication and interpersonal skills.</li><li>Solid understanding of regulatory expectations and leading practices of the financial industry specifically for risk management with an emphasis on operational risk management.</li><li>Reliable, accountable, and efficient team player.</li><li>Effective at managing multiple initiatives and deliverables with various execution/completion timelines.</li><li>Ability to demonstrate CIBC's core values (e.g. trust, teamwork, and accountability).</li><li>Values matter to you. You bring your real self to work and you live our values - trust, teamwork, and accountability.</li></ul>California residents - your privacy rights regarding your actual or prospective employment At CIBC, we offer a competitive total rewards package. This role has an expected salary range of $135,000 - $160,000 for the market based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which may also include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employee's needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave and Vacation), Holidays and 401(k), in addition to other special perks reserved for our team members. What CIBC Offers At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck. <ul><li>We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.</li><li>Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.</li><li>We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.</li></ul>*Subject to plan and program terms and conditions What you need to know <ul><li>CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact <a href="mailto:Mailbox.careers-carrieres@cibc.com" target="_blank">Mailbox.careers-carrieres@cibc.com</a></li><li>You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.</li><li>We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.</li></ul>Job Location IL-70 W Madison St, 9th Fl Employment Type Regular Weekly Hours 40 Skills Business Risks, Control Frameworks, Operational Risks, Operation Risk Management, Risk Assessments, Risk Management

US Operational Risk Management, Portfolio Manager, Operations

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>

7 Full time Jobs in Chicago, IL, USA