Regional Supervision & Strategy Associate

Rockefeller Capital Management; Newark Village (IN); On-site; USD 90,000 - 130,000; Full time

Job summary

Rockefeller Capital Management seeks a Regional Supervision Associate to support advisory teams across the Northern Hub, ensuring governance and alignment with firm standards. You will collaborate with Private Advisors, Managing Directors, and internal partners to strengthen supervision, account monitoring, and client service delivery while navigating a fast-paced regulatory environment.

Ideal candidates will have 3–5 years in the securities industry, FINRA registrations, and demonstrated

Qualifications

• 3–5 years in the securities industry with experience in supervisory control functions.
• Experience in account monitoring, surveillance, supervision, sales practices, and regulatory compliance is highly 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 business 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
• 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 routines

Regulatory change navigation

Client service delivery excellence

Team collaboration & independent work

Risk-based problem solving

Education

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

Job description

Rockefeller Capital Management seeks a Regional Supervision Associate to support advisory teams across the Northern Hub, ensuring governance and alignment with firm standards. You will collaborate with Private Advisors, Managing Directors, and internal partners to strengthen supervision, account monitoring, and client service delivery while navigating a fast-paced regulatory environment.

Ideal candidates will have 3–5 years in the securities industry, FINRA registrations, and demonstrated