Product Compliance Specialist

Rockefeller Capital Management; Trenton (NJ); On-site; USD 80,000 - 130,000; Full time

Job summary

An established industry player is seeking a knowledgeable Product Compliance Specialist to enhance their compliance program. This role involves overseeing broker-dealer activities, providing regulatory guidance, and conducting compliance testing. The ideal candidate will have extensive experience in the financial services sector, particularly with SEC and FINRA regulations. Join a dynamic team where your expertise will help shape compliance strategies and ensure adherence to industry standards. This is a unique opportunity to make a significant impact in a fast-paced environment and contribute to the success of a leading firm.

Qualifications

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

Responsibilities

• Develop and oversee compliance programs focusing on supervisory controls.
• Advise on regulatory matters and support branch coverage.

Skills

Problem-solving

Communication

Analytical skills

Organizational skills

MS Office proficiency

Education

BS/BA

MBA or JD

Tools

MS Office

Job description

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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. This role will oversee 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 policies and procedures, including the RGFO Branch Compliance Manual and related policies.
12. Conduct monitoring of branch 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 judgment and timely escalation to management.
5. Solid foundational knowledge of various capital markets and product offerings.
6. A proven thought leader, capable of executing 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 professionally, assertively, and proactively.
2. Strong communication skills with the ability to influence outcomes and simplify complex topics into actionable recommendations.
3. Ability to work effectively cross-functionally with employees at all levels.
4. Self-starter with the ability to meet deadlines, prioritize, multi-task, and adapt in a fast-paced environment.
5. Analytical mindset with willingness to perform routine tasks.
6. Ability to work both collaboratively and independently.
7. Excellent organizational skills to handle multiple projects.
8. Proficiency in MS Office, including document creation 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. are equal opportunity employers. They do not discriminate based on 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 protected characteristic. Rockefeller participates in the E-Verify program where required by law.