Senior Wealth Compliance Officer

Rockefeller Capital Management; Trenton (NJ); On-site; USD 130,000 - 160,000; Full time

Job summary

Rockefeller Capital Management is seeking a Senior Compliance professional to provide coverage for the firm’s broker-dealer and investment advisory compliance program within the Rockefeller Global Family Office Compliance Team. The role encompasses branch, operations, and regulatory reporting responsibilities, including complaints, trade errors, and escalation.

The candidate should manage sensitive issues independently and advise senior management.

Qualifications

• 7–10 years of broker-dealer or investment adviser experience at VP level.
• Experience with branch compliance, customer complaints, trade errors, electronic communications review, surveillance, and regulatory reporting.
• Ability to evaluate regulatory reporting implications, document conclusions for complaints, disclosures, and inquiries.
• Strong working knowledge of SEC, FINRA, MSRB, and state securities regulations.
• Experience with retail wealth management, brokerage products, advisory programs, alternative investments, and/or branch operations preferred.
• FINRA Series 7 and Series 24 or other relevant licenses preferred; willingness to obtain licenses.
• Bachelor’s degree required; advanced degree, compliance certification, or relevant professional designation a plus.

Responsibilities

• Cover branch and operations compliance for complaints, trade errors, electronic communications, surveillance, and reporting.
• Manage customer complaint intake, classification, investigation, tracking, disposition, and regulatory reporting analyses.
• Oversee regulatory reporting support for Form U4/U5, TRACE, CAT, inquiries, exams, and other broker-dealer or advisor reporting obligations.
• Collaborate with Operations, Legal, Registrations, and business teams to evaluate reportable events and document conclusions.
• Maintain regulatory reporting trackers, exception logs, evidence files, and management reporting for audits.
• Review trade errors and escalation matters; document root causes and remediation actions.
• Conduct electronic communications reviews and address policy, sales practice, or information barrier concerns.
• Support control-group processes, restricted/watch list surveillance, and related metrics.
• Identify emerging risks and provide regulatory guidance to senior management.
• Provide practical regulatory advice and escalation support to senior Compliance Management on branch, operations, and reporting matters.

Skills

Sound judgment

Written communication

Interpersonal skills

Analytical thinking

Attention to detail

Independent work

Multitasking

Education

Bachelor's degree

Advanced degree or certification

Tools

Microsoft Office

Compliance tools

Surveillance platforms

Review systems

Data reporting tools

Job description

Rockefeller Capital Management is seeking a Senior Compliance professional to provide coverage for the firm’s broker-dealer and investment advisory compliance program within the Rockefeller Global Family Office Compliance Team. The role encompasses branch, operations, and regulatory reporting responsibilities, including complaints, trade errors, and escalation.

The candidate should manage sensitive issues independently and advise senior management.