Regional Supervision Associate: Advisory Ops

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

Job summary

Rockefeller Capital Management is seeking a Regional Supervision Associate to join its Northern Hub. In this role you will support supervisory controls, partner with Private Advisors and Managing Directors, and help ensure client service delivery meets firm standards across the region.

You will coordinate with Human Capital, Compliance and Operations to maintain governance and drive continuity planning. This position requires 3–5 years in securities and FINRA registrations or willingness to

Qualifications

• 3–5 years in the securities industry; experience in supervisory control functions, account monitoring / surveillance, supervision, sales practices, and regulatory compliance highly desirable.

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

Supervisory oversight

Regulatory change

Subject matter expert

Risk-based problem solving

Motivated achiever

Team player

Independent contributor

Education

FINRA registrations

Job description

Rockefeller Capital Management is seeking a Regional Supervision Associate to join its Northern Hub. In this role you will support supervisory controls, partner with Private Advisors and Managing Directors, and help ensure client service delivery meets firm standards across the region.

You will coordinate with Human Capital, Compliance and Operations to maintain governance and drive continuity planning. This position requires 3–5 years in securities and FINRA registrations or willingness to