Regional Supervision & Strategy Associate

Rockefeller Capital Management; Beachwood (OH); On-site; USD 85,000 - 120,000; Full time

Job summary

Rockefeller Capital Management, Ohio-based, seeks a Regional Supervision Associate to support advisory teams through supervision and strategic execution. You will partner with Private Advisors and senior leaders to ensure effective governance and client service.

Responsibilities include overseeing the Northern Hub, guiding team structure and day-to-day execution, and coordinating with Human Capital, Compliance, and Operations to sustain firm standards.

Qualifications

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

Supervisory oversight

Regulatory compliance

Client service delivery

Team collaboration

Education

FINRA registrations (Series 7, 9, 10, 63, 65, 66)

Tools

Surveillance software

Job description

Rockefeller Capital Management, Ohio-based, seeks a Regional Supervision Associate to support advisory teams through supervision and strategic execution. You will partner with Private Advisors and senior leaders to ensure effective governance and client service.

Responsibilities include overseeing the Northern Hub, guiding team structure and day-to-day execution, and coordinating with Human Capital, Compliance, and Operations to sustain firm standards.