CoverProfile

James Bushman

Director, Chief Compliance Officer

Ziegler

United States, Illinois, Chicago

About Me

James (Jim) Bushman joined Ziegler in October 1983. In 2011 he was promoted to Ziegler's Chief Compliance Officer. Jim is responsible for firm-wide compliance oversight and for the development and implementation of an audit and monitoring program to ensure compliance with applicable laws/regulations. Additionally, he works closely with the businesses to develop policies and procedures designed to prevent and detect unlawful activity, while supporting the needs of business. Jim has nearly 30 years of experience in the financial services industry in internal audit, employee benefits, retail sales administration, and brokerage and trading operations, having held various management positions

View more

Profile Information

Director, Chief Compliance Officer

Ziegler

Investment Team,Operations Team

Investor

Bank

Chicago

Illinois

United States

Aug 13, 2024

More profiles to browse

WC
Will Carney
Managing Director
KS
Kevin Strom
Executive Managing Director/Head of Ziegler Capital Markets
Profile Photo
Brian Riordan
Managing Director, Practice Leader at Mesirow
AC
Amy Castleberry
Managing Director

You Might Like

DZ
Donna Zanetti
Manager of Client Services
Pennsylvania Capital Management
RM
Robert Miller
Chief Compliance Officer
Oakmont Corporation
BW
Bill Wood
Managing Member, Principal
Nova R Wealth
LA
Lily Akopyan
Executive Assistant
Oakmont Corporation