Regional Supervision Specialist for Advisory Teams

Rockefeller Capital Management; Chicago (IL); On-site; USD 85,000 - 100,000; Full time

Job summary

Rockefeller Capital Management in the United States seeks a Regional Supervision Associate to partner with advisory teams, support supervisory discipline, and ensure governance standards across the Northern Hub. The role focuses on team structure, client service delivery, and cross-functional coordination with Human Capital, Compliance, and Operations to maintain regulatory alignment.

The position offers base salary in the mid-80s to low-100k, with eligibility for discretionary bonus and a

Qualifications

• FINRA registrations (e.g., Series 7, 9, 10, 63, 65, 66) or willingness to obtain.

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.
• Act as liaison between advisory teams and internal partners across Human Capital, Supervision, Compliance, and Operations.

Skills

Supervisory oversight

Regulatory compliance

Broker-dealer knowledge

Team collaboration

Attention to detail

Job description

Rockefeller Capital Management in the United States seeks a Regional Supervision Associate to partner with advisory teams, support supervisory discipline, and ensure governance standards across the Northern Hub. The role focuses on team structure, client service delivery, and cross-functional coordination with Human Capital, Compliance, and Operations to maintain regulatory alignment.

The position offers base salary in the mid-80s to low-100k, with eligibility for discretionary bonus and a