Regional Supervisory & Compliance Associate

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

Job summary

Rockefeller Capital Management is seeking a Regional Supervision Associate to support supervisory discipline and strategic execution for advisory teams in the Northern Hub. You will work closely with Private Advisors and senior leadership to ensure effective team management and alignment with firm standards.

The role involves guiding structure, coverage and day-to-day business execution, partnering with Managing Directors to enhance client service, and liaising with internal partners across

Qualifications

• Ideal candidates will have a combination of 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

FINRA registrations

Securities industry experience

Supervisory oversight

Regulatory compliance

Job description

Rockefeller Capital Management is seeking a Regional Supervision Associate to support supervisory discipline and strategic execution for advisory teams in the Northern Hub. You will work closely with Private Advisors and senior leadership to ensure effective team management and alignment with firm standards.

The role involves guiding structure, coverage and day-to-day business execution, partnering with Managing Directors to enhance client service, and liaising with internal partners across