Regional Advisory Oversight Associate

Rockefeller Capital Management; Cincinnati (OH); Hybrid; USD 90,000 - 130,000; Full time

Job summary

Rockefeller Capital Management is seeking a Regional Supervision Associate to support advisory teams in the Northern Hub, coordinating supervision, escalation, and execution of business strategy. You will work closely with Private Advisors and Managing Directors to ensure client service excellence and regulatory adherence.

The role emphasizes guiding team structure, cross-functional liaison with partners, and supporting continuity planning across regions while maintaining firm standards and

Qualifications

• Combination of FINRA registrations (e.g., Series 7, 9, 10, 63, 65, 66) or willingness to obtain.
• 3–5 years in the securities industry with experience in supervisory control, monitoring and compliance.

Responsibilities

• Assist in the oversight for advisory teams within the Northern Hub.
• Assist in the escalation and support for business and supervision matters.
• Guide team structure, coverage, and day-to-day business execution across the region.
• Partner closely with Private Advisors and Managing Directors to support client service delivery and team effectiveness.
• Act as a liaison between advisory teams and internal partners across Human Capital, Supervision, Compliance, and Operations.
• Support advisor led initiatives, events, and client communications requiring regional approval or coordination.
• Ensure regional teams operate within firm guidelines and governance standards.
• Support continuity planning and business transitions as needed.

Skills

FINRA registrations

Supervisory control

Regulatory compliance

Account surveillance

Job description

Rockefeller Capital Management is seeking a Regional Supervision Associate to support advisory teams in the Northern Hub, coordinating supervision, escalation, and execution of business strategy. You will work closely with Private Advisors and Managing Directors to ensure client service excellence and regulatory adherence.

The role emphasizes guiding team structure, cross-functional liaison with partners, and supporting continuity planning across regions while maintaining firm standards and