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, education, and project finance, as well as corporate finance and FHA/HUD financings. Ziegler also participates actively in the Healthcare Mergers & Acquisitions space.

BUSINESS UNIT

Ziegler Capital Markets (ZCM) is an active participant in fixed income securities. Specifically, municipal sales, trading, and underwriting, including public, tax-exempt and taxable markets. We also participate in private placement, retail, and preferred trading markets. Our first-hand market knowledge and credit expertise results in broad primary market distribution and secondary market support for our sales, trading, and underwriting activities.

POSITION OVERVIEW

To manage and supervise the Ziegler Capital Markets (ZCM) Securities Operations/Administrative/Clearing Business Unit. This position will also manage personnel, and the running of day-to-day operations for the lead ZCM office located in Chicago, Il. Also responsible for month-end reporting, and other day to day office management issues to ensure smooth operations. Work with Corporate Accounting to perform all ZCM financial reporting, performance forecasting, and annual budgeting for ZCM. Ensure that all functions are performed, and records maintained, to meet Audit and Industry regulatory standards.

The successful candidate will be responsible for the following:

Perform all monthly Financial Reporting functions for ZCM Division. Includes annual budgeting, monthly financial reporting, deal and Banker profitability, other management reporting and analysis etc.
Overall management interactions with ZCM and the Ziegler Investment Bank (ZIB) and Operations personnel management.
Individual Operations Primary Deal management – set-up, trades, and settlement.
Secondary trade management, clearing, settlement, month-end mark-to-market.
Pershing and Bloomberg account set-up and ongoing management.
BNY-Pershing (clearing firm) relationship management. Contract management. Attend annual conference.
DTC relationship management.
Maintain relationships with regulatory entities (FINRA, SIFMA, SEC, MSRB, etc.) and Industry Representation firms (BDA, etc.) Attend annual conference.
Bloomberg management – Internal controls, and Bloomberg relationship management.

POSITION REQUIREMENTS

The VP of Operations will possess the following:

In depth knowledge of the Fixed Income securities operations industry, specifically pertaining to Municipal Bond finance.
In depth knowledge of securities characteristics, clearing functionality, and Industry Compliance regarding rules and regulations for MSRB, FINRA and SEC.
Comprehensive knowledge of securities and general understanding of all accounting principles.
BS degree in Finance/Accounting.
10 years Fixed Income Securities Industry experience.
5 years managing Business unit with staff of 5 or more.
FINRA Series 7, 27 and 66 recommended but not required. Depending on experience.

JOB LOCATION

This position is a hybrid role requiring the incumbent to work from Ziegler’s Chicago office Tuesday/Wednesday/Thursday and remote on Monday/Friday.

EOE