Pam Ziermann, CSCP
Regulatory compliance is critical to our ability to help clients achieve thier goals through independent, best practice advisory solutions. At Ehlers, we take this very seriously and do our level best to implement and maintain strong compliance protocols.

Pam Ziermann, CSCP

Chief Compliance Officer
Pam Ziermann, CSCP

Pam is Ehlers’ Chief Compliance Officer, bringing more than 30 years of progressive responsibilities and achievements in financial services to her role with the firm. Over the course of her career, Pam has created and implemented policies and procedures to help ensure compliance with FINRA, MSRB, SEC, State, NFA, CFTC, Fannie Mae, and HUD for municipal advisors, investment advisers, broker-dealers and commercial mortgage brokers.  Today,  in addition to her Chief Compliance Officer responsibilities with Ehlers, Pam serves on the Minnesota State Mankato Business Advisory Board as well as the University of St. Thomas Compliance and Ethics Advisory Board.

Pam lives near Delano, Minnesota with her Labradors and the chickens she’s been raising since the onset of the COVID-19 pandemic. She is an avid Minnesota sports fan, particularly the Twins and the Vikings. In her spare time, Pam enjoys Disney World, Major League Baseball spring training in Florida, and spending quality time with friends and family.


Primary Responsibilities

Compliance Policy & Procedure Development
Supervisory Procedure Development & Implementation
Best Practices Development & Implementation
Compliance Training (Municipal Advisor, Investment Adviser, General Business Practices)
Mock Audits & Examinations
Regulatory Examination Preparation & Oversight

Education

Bachelor of Science, Minnesota State Mankato – Accounting

Certifications

Certified Securities Compliance Professional (CSCP)

Professional Affiliations & Memberships

University of St. Thomas Compliance & Ethics Program – Adjunct Professor
National Society of Compliance Professionals (NSCP) – Two-term Board Member, One Year as Board Chair
NSCP, Municipal Securities Rulemaking Board (MSRB) and Financial Industry Regulation Authority (FINRA) – Various Committee Positions

Community Involvement

Minnesota State Mankato Business Advisory Board Member
University of St. Thomas Compliance & Ethics Advisory Board
Mount Olive Lutheran Church of Delano, Minnesota