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 within Ziegler. He is focused on providing business units with regulatory guidance and in maintaining a client-centric, proactive, risk management program.
Jim is a graduate of University of Wisconsin-Oshkosh where he majored in accounting. He is a CPA and holds various securities licenses including the Series 7, 24, 53, 63, 65, 79, and 99. Jim is a member of the Security Industry Financial Market Association’s Compliance and Legal Division, AICPA, WICPA, and various Compliance networking groups in the Midwest.