Regional Supervisory Leader for Advisory Teams

Rockefeller Capital Management; Carmel (IN); On-site; USD 110,000 - 170,000; Full time

Job summary

Rockefeller Capital Management is seeking a Regional Supervision Manager to oversee advisory teams in the Northern Hub and ensure alignment with firm standards. The role partners with Private Advisors and senior leadership to support client service delivery and team effectiveness.

The position emphasizes supervisory discipline, governance compliance, and collaboration across Human Capital, Compliance, and Operations. Candidates with 7–10+ years in securities and FINRA registrations fit well.

Qualifications

• FINRA registrations (e.g., Series 7, 9, 10, 63, 65, 66) preferred.
• 7-10+ years in the securities industry; supervisory/ surveillance experience valued.

Responsibilities

• Oversee advisory teams within the Northern Hub.
• Escalate and support business and supervision matters.
• Guide team structure, coverage, and day-to-day execution regionally.

Skills

FINRA registrations

Supervisory control

Securities industry

Job description

Rockefeller Capital Management is seeking a Regional Supervision Manager to oversee advisory teams in the Northern Hub and ensure alignment with firm standards. The role partners with Private Advisors and senior leadership to support client service delivery and team effectiveness.

The position emphasizes supervisory discipline, governance compliance, and collaboration across Human Capital, Compliance, and Operations. Candidates with 7–10+ years in securities and FINRA registrations fit well.