Pam Ziermann

J.S. Held’s Inaugural Global Risk Report Examines Potential Business Risks & Opportunities in 2024

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Pam Ziermann has more than 30 years of experience in the financial services industry. Most recently, she spent 25 years as SVP – Compliance with Dougherty Financial Group LLC in Minneapolis. She served as the Chief Compliance Officer for the registered broker-dealer/investment advisor/municipal advisor, as well as several other affiliated investment advisers and commercial mortgage brokerage firms. In earlier positions, Pam served as the Trust and Investment Compliance Officer for Marquette Banks, where she began her career as an auditor. She began her auditing career at the accounting firm, Arthur Andersen.

Pam has served on various industry committees, including FINRA's Small Firm Advisory Board, New Account Form Task Force, Small Firm Rules Impact Task Force, and Registration and Licensing Council, as well as the Securities Industry/Regulatory Council on Continuing Education and various National Society of Compliance Professionals (NSCP) committees including the Board of Directors, with one term as Board Chair. Pam also serves as an adjunct professor at the University of St. Thomas in the Organizational Ethics and Compliance Program.

Pam is an independent contractor focused on broker-dealer, investment adviser, and municipal advisor policies, procedures, annual reviews, training, diligence, and other compliance projects.

Pam Ziermann has been retained as a Special Advisor by J.S. Held for project-based engagements.

Key Expertise

  • Broker-Dealer Compliance
  • Regulatory & Internal Investigations
  • Investment Advisory Compliance
  • Human Resources
  • Municipal Advisory Compliance

Professional Affiliations/Memberships/Licenses

  • Certified Securities Compliance Professional (CSCP)
  • Formerly Held: Securities Industry Licenses – Series 7, 24, 53, 65, 87
  • Formerly Held: Security Industry Essentials Registration