Regional Supervisory Manager, Wealth Advisory Operations

Rockefeller Capital Management; Columbus (OH); On-site; USD 120,000 - 160,000; Full time

Job summary

Rockefeller Capital Management is seeking a Regional Supervision Manager to oversee advisory teams in the Northern Hub, ensuring governance, regulatory compliance, and alignment with firm standards. The role partners with Private Advisors and Managing Directors to support client service, team effectiveness, and continuity planning across the region.

This senior leadership position requires 7–10+ years in securities and strong supervisory, risk-management, and cross-functional collaboration

Qualifications

• FINRA registrations (e.g., Series 7, 9, 10, 63, 65, 66)
• 7-10+ years in the securities industry with supervisory control, account monitoring/surveillance, sales practices, and regulatory compliance experience

Responsibilities

• Manage the oversight for advisory teams within the Northern Hub
• Manage 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

Supervisory oversight

Regulatory agility

Subject matter expertise

Risk-based problem solving

Self-motivated

Teamwork & independence

Education

FINRA registrations

Experience in securities supervision

Job description

Rockefeller Capital Management is seeking a Regional Supervision Manager to oversee advisory teams in the Northern Hub, ensuring governance, regulatory compliance, and alignment with firm standards. The role partners with Private Advisors and Managing Directors to support client service, team effectiveness, and continuity planning across the region.

This senior leadership position requires 7–10+ years in securities and strong supervisory, risk-management, and cross-functional collaboration