Patrick Sereda

Patrick Sereda currently serves as the Compliance Officer at Ziegler, where he plays a pivotal role in ensuring the firm’s adherence to complex financial regulations and industry standards. Leveraging his extensive expertise in regulatory compliance, Patrick oversees a comprehensive suite of compliance programs, focusing on safeguarding the firm’s operations against regulatory risks while fostering a culture of integrity and transparency. His deep understanding of financial regulation, combined with his proficiency in auditing and risk management, enables him to develop and implement robust compliance policies tailored to Ziegler’s unique business model.

In his role, Patrick is instrumental in conducting detailed audits of sales activities and investment recommendations, ensuring they meet suitability standards and regulatory requirements. His background in supervising sales compliance at Wintrust Investments LLC and overseeing licensing at Waterstone Financial Group provides him with a nuanced perspective on the intricacies of financial regulation and the importance of proactive risk mitigation. Patrick’s expertise with industry-specific licenses such as Series 4, 7, 24, 53, 63, and 65 further enhances his ability to navigate the regulatory landscape effectively.

Key projects under his leadership include the development of comprehensive compliance training programs for advisors, the implementation of advanced monitoring systems to detect potential violations, and the refinement of internal controls to ensure ongoing adherence to evolving regulatory standards. Patrick’s strategic approach to compliance not only minimizes operational risks but also positions Ziegler as a trusted leader in the financial services industry, committed to ethical practices and regulatory excellence.