Regional Supervision Lead for Advisory Teams

Rockefeller Capital Management; Ohio; Hybrid; USD 90,000 - 130,000; Full time

Job summary

Rockefeller Capital Management is seeking a Regional Supervision Associate to support advisory teams across the Northern Hub. You will participate in supervising activities, incident escalation, and day-to-day execution to ensure alignment with firm standards and regulatory requirements.

You will collaborate with Private Advisors and Managing Directors to optimize client service delivery, governance, and continuity planning, while navigating a fast-paced regulatory environment across the region.

Qualifications

• FINRA registrations such as Series 7/9/10/63/65/66, or willingness to obtain.
• 3-5 years in the securities industry with supervisory/control experience desirable.

Responsibilities

• Assist in oversight for advisory teams within the Northern Hub
• Assist in escalation and support for business and supervision matters
• Guide team structure, coverage, and day-to-day execution across the region
• Partner with Private Advisors and Managing Directors to support client service delivery and team effectiveness
• Act as 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 oversight

Education

3-5 years securities industry

Job description

Rockefeller Capital Management is seeking a Regional Supervision Associate to support advisory teams across the Northern Hub. You will participate in supervising activities, incident escalation, and day-to-day execution to ensure alignment with firm standards and regulatory requirements.

You will collaborate with Private Advisors and Managing Directors to optimize client service delivery, governance, and continuity planning, while navigating a fast-paced regulatory environment across the region.