Regional Supervision & Compliance Associate

Rockefeller Capital Management; Woodmere (OH); On-site; USD 70,000 - 100,000; Full time

Job summary

Rockefeller Capital Management in Ohio is seeking a Regional Supervision Associate to participate in business supervision, support, and strategic execution for assigned advisory teams. You will partner closely with Private Advisors and Managing Directors to ensure effective team management, governance, and alignment with firm standards and objectives across the Northern Hub.

The role supports supervisory continuity, client service delivery, and coordination with Human Capital, Compliance, and

Qualifications

• 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 functions, account monitoring / surveillance, supervision, sales practices, and regulatory 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 (where applicable)
• 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 oversight

Regulatory change navigation

Subject matter expertise

Risk-based problem solving

Team player / independent contributor

Job description

Rockefeller Capital Management in Ohio is seeking a Regional Supervision Associate to participate in business supervision, support, and strategic execution for assigned advisory teams. You will partner closely with Private Advisors and Managing Directors to ensure effective team management, governance, and alignment with firm standards and objectives across the Northern Hub.

The role supports supervisory continuity, client service delivery, and coordination with Human Capital, Compliance, and