Product Compliance Specialist

Rockefeller Capital Management; Connecticut; On-site; USD 80,000 - 120,000; Full time

Job summary

An established industry player is seeking a Product and Operations Compliance Specialist to enhance their compliance program. This vital role involves overseeing compliance related to broker-dealer activities, providing regulatory guidance, and managing compliance risks. The ideal candidate will possess extensive experience in the financial services sector, particularly with SEC and FINRA regulations. You will be a key player in ensuring adherence to compliance standards while collaborating with various teams. If you are a proactive problem-solver with strong communication skills and a passion for compliance, this role offers an exciting opportunity to make a significant impact in a dynamic environment.

Qualifications

• 5-7 years of compliance experience in financial services, focusing on broker-dealer activities.
• In-depth knowledge of SEC and FINRA rules and regulations.

Responsibilities

• Develop and oversee investment product and operations compliance program.
• Advise on regulatory, supervisory, and branch administrative matters.

Skills

Problem-solving skills

Communication skills

Organizational skills

Self-starter

Collaboration skills

Education

BS/BA

MBA or JD

Tools

MS Office

Job description

About Rockefeller Capital Management

Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30 markets throughout the United States, as well as an office in London. The Firm oversees $151 billion in client assets as of December 31, 2024.

Position

We are seeking a highly skilled and knowledgeable Product and Operations Compliance Specialist to join our team. The Rockefeller Global Family Office (RGFO) Product Compliance Specialist is a newly created role that reports to the RGFO Chief Compliance Officer. The ideal candidate will have extensive experience in broker-dealer activities and a deep understanding of SEC and FINRA rules. While partnering with business, this role will be responsible for overseeing all aspects of the RGFO product and operations compliance program focusing on capital markets oversight, branch administration, trade reporting, regulatory advice/guidance, policy drafting, training, and related monitoring and testing activities.

Responsibilities

1. Develop and oversee the investment product and operations compliance program, with particular focus on supervisory controls.
2. Serve as primary subject matter expert to advise the Investment & Client Solutions and Operations team on regulatory, supervisory, and branch administrative matters.
3. Provide support for RGFO branch coverage, including advisory, registration, business, and marketing coverage areas.
4. Partner with Business and Legal teams to provide regulatory guidance and support to Branch Supervisors and Private Advisors.
5. Advise senior management on key regulatory focus areas and emerging compliance risks.
6. Investigate and resolve compliance incidents, ensuring timely and effective remediation.
7. Conduct regular risk assessments and compliance testing to identify potential areas of vulnerability and implement corrective actions.
8. Oversee and manage compliance related to broker-dealer activities, including trade surveillance, customer communications, and transaction reporting.
9. Assist with drafting formal reports that summarize key risks, issues and/or recommended actions pursuant to regulatory and policy requirements.
10. Serve as the Compliance representative on relevant committees and governance forums.
11. Assist in the maintenance, drafting, and review of various policies and procedures, including the RGFO Branch Compliance Manual and related policies.
12. Conduct monitoring of branch related activities and serve as an escalation point to business and Compliance Management.
13. Assist with creating periodic reports and key metrics for senior management.

Qualifications

1. Minimum of 5-7 years of experience in a compliance role within the financial services industry, with a focus on broker-dealer activities.
2. In depth knowledge of SEC and FINRA Rules and Regulations.
3. Prior experience covering dual registrant compliance programs and/or family office business preferably in a management or supervisory role.
4. Ability to exhibit and implement excellent judgement and timely escalation to management.
5. Solid foundational knowledge of various capital markets and product offerings.
6. A proven thought leader, capable of executing on both tactical and strategic initiatives.
7. Serve as a Compliance agent of change representing the department.
8. FINRA Series 7 and other principal licenses preferred.
9. BS/BA; MBA or JD degree(s) a plus.

Skills

1. Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner.
2. Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making.
3. Demonstrated ability to work effectively and cross-functionally with employees at all levels.
4. Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.
5. Ability to analyze matters combined with the willingness and ability to perform routine tasks.
6. Ability to work collaboratively and independently.
7. Excellent organizational skills and ability to handle multiple projects at one time.
8. The ideal candidate will have MS Office experience, including creation and development of documents for presentation and data analysis.

Disclosure

Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, “Rockefeller”) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law (“protected characteristics”).

Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.