Regional Supervisory Manager, Advisory Teams

Rockefeller Capital Management; Chicago (IL); On-site; USD 125,000 - 150,000; Full time

Benefits offered by this job

Health coverage

Vacation time

Retirement plan

Job summary

Rockefeller Capital Management in Chicago seeks a Regional Supervision Manager to oversee advisory teams in the Northern Hub, ensuring governance and compliance with firm standards while supporting leadership in strategic execution.

You will partner with Private Advisors and Managing Directors to align client service delivery, supervise operations, and steer day-to-day activities across the region, contributing to risk management and continuity planning.

Qualifications

• FINRA registrations (e.g., Series 7/9/10/63/65/66)
• 7–10+ years in the securities industry with supervisory and compliance experience
• Experience in broker-dealer or registered investment advisor supervision

Responsibilities

• Oversee advisory teams within the Northern Hub.
• Escalate and support business and supervision matters.
• Guide team structure, coverage, and day-to-day execution across the region.
• Partner with Private Advisors and Managing Directors to support client service delivery and team effectiveness.
• Act as liaison between advisory teams and internal partners (Human Capital, Supervision, Compliance, Operations).
• Support advisor-led initiatives and client communications requiring regional approval or coordination.
• Ensure regional teams operate within firm governance standards.
• Assist continuity planning and business transitions as needed.

Skills

FINRA registrations

Supervisory experience

Regulatory compliance

Job description

Rockefeller Capital Management in Chicago seeks a Regional Supervision Manager to oversee advisory teams in the Northern Hub, ensuring governance and compliance with firm standards while supporting leadership in strategic execution.

You will partner with Private Advisors and Managing Directors to align client service delivery, supervise operations, and steer day-to-day activities across the region, contributing to risk management and continuity planning.