Regional Supervision & Strategy Associate

Rockefeller Capital Management; Carmel, Northern (IN, KY); Hybrid; USD 90,000 - 135,000; Full time

Job summary

Rockefeller Capital Management in Carmel, Indiana, is seeking a Regional Supervision Associate to support advisory teams and align with firm governance. You will help oversee day-to-day supervision, escalate issues, and collaborate with Private Advisors and Managing Directors to strengthen client service delivery.

The ideal candidate has 3-5 years in the securities industry, familiarity with supervision controls, and FINRA registrations (or willingness to obtain).

Qualifications

• Experience in supervisory control functions within securities.
• Knowledge of FINRA registrations (e.g., Series 7, 9/10, 63/65/66) or willingness to obtain.
• Experience with account monitoring, surveillance, and regulatory compliance.

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 business execution across the region.
• Partner with Private Advisors and Managing Directors to support client service delivery.
• Act as a liaison between advisory teams and internal partners across HC, Supervision, Compliance and Operations.
• Support advisor-led initiatives, events, and client communications requiring regional approval.
• Ensure regional teams operate within firm guidelines and governance standards.
• Support continuity planning and business transitions as needed.

Skills

Supervisory oversight

Regulatory change

Client service

Analytical mindset

Team collaboration

Problem solving

Job description

Rockefeller Capital Management in Carmel, Indiana, is seeking a Regional Supervision Associate to support advisory teams and align with firm governance. You will help oversee day-to-day supervision, escalate issues, and collaborate with Private Advisors and Managing Directors to strengthen client service delivery.

The ideal candidate has 3-5 years in the securities industry, familiarity with supervision controls, and FINRA registrations (or willingness to obtain).