Wealth Management - Senior Compliance Officer

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

Benefits offered by this job

Health coverage

Vacation time

Paid leave

Retirement plan

Job summary

Rockefeller Capital Management is seeking a senior Compliance professional to cover the broker-dealer and investment adviser compliance program within the Rockefeller Global Family Office. The role emphasizes independent operation, escalation management, and practical guidance across Compliance Management and business partners.

The ideal candidate will bring 7–10 years of relevant experience, strong knowledge of SEC/FINRA rules, and experience with complaint handling, reporting, and

Qualifications

• Minimum 7–10 years of broker-dealer, investment adviser, compliance, legal, audit, supervision, operations, or related financial services experience.
• Prior experience with branch compliance, customer complaints, trade errors, electronic communications review, surveillance, regulatory reporting, regulatory examinations, or operational controls preferred.
• Strong knowledge of SEC, FINRA, MSRB and state securities regulatory requirements for broker-dealer and investment advisory activities.
• Ability to evaluate facts, identify regulatory and operational risks, document conclusions, and escalate appropriately.
• Experience with retail wealth management, brokerage products, advisory programs, and/or branch office operations preferred.

Responsibilities

• Serve as a key member of the RGFO Compliance Team with primary responsibility for branch and operations compliance coverage, including complaints, trade errors, electronic communications, restricted/watch list surveillance, regulatory reporting, and related escalation processes.
• Manage and support customer complaint intake, classification, investigation, tracking, disposition, and regulatory reporting analyses, coordinating with Legal, Supervision, Operations, and business stakeholders.
• Oversee regulatory reporting support for complaint reporting, Form U4 and Form U5 disclosure analyses, TRACE and CAT escalations, regulatory inquiries, exam responses, and other broker-dealer or investment adviser reporting obligations.
• Partner with Operations, Supervision, Registrations, Legal, Technology, and business teams to evaluate reportable events, assess timeliness and completeness, validate data, and document reporting conclusions.
• Maintain regulatory reporting trackers, exception logs, evidence files, control documentation, and management reporting for supervisory review and audits.
• Review and assess trade errors, operational issues, and escalation matters; document root-cause analyses and remediation tracking.

Skills

Broker-dealer compliance

Investment adviser compliance

Regulatory reporting

Regulatory examinations

Data validation

Securities licenses (FINRA 7/24)

Bachelor’s degree (required)

Education

Bachelor’s degree

Advanced degree / compliance certification

Tools

Microsoft Office

Compliance case management tools

Surveillance platforms

Data/reporting tools

Job description

About Rockefeller Capital Management

Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 33 markets throughout the United States, as well as an office in London. The Firm oversees $224 billion in client assets as of June 30, 2026.

Position

The Rockefeller Global Family Office Compliance Team is seeking a senior Compliance professional to provide coverage for the Firm’s broker-dealer and investment advisory compliance program. The role is intended to provide coverage for core branch, operations, and regulatory reporting responsibilities, including customer complaints, trade errors, electronic communications reviews, restricted and watch list surveillance, wall crossing processes, regulatory filings and inquiries, operational controls, and related testing, monitoring, escalation, and advisory activities. The candidate should be able to operate independently, exercise sound judgment, manage sensitive escalations, and provide practical guidance to Compliance Management and business partners.

Responsibilities

• Serve as a key member of the RGFO Compliance Team with primary responsibility for branch and operations compliance coverage, including complaints, trade errors, electronic communications, restricted/watch list surveillance, regulatory reporting, and related escalation processes.
• Manage and support customer complaint intake, classification, investigation, tracking, disposition, and regulatory reporting analyses, including coordination with Legal, Supervision, Operations, and business stakeholders.
• Oversee regulatory reporting support for complaint reporting, Form U4 and Form U5 disclosure analyses, TRACE and CAT escalations, regulatory inquiries, exam responses, and other broker-dealer or investment adviser reporting obligations as needed.
• Partner with Operations, Supervision, Registrations, Legal, Technology, and business teams to evaluate reportable events, assess timeliness and completeness, validate supporting data, and document reporting conclusions.
• Maintain regulatory reporting trackers, exception logs, evidence files, control documentation, and management reporting to support supervisory review, audit readiness, regulatory examinations, and senior management oversight.
• Review and assess trade errors, operational issues, and escalation matters; help maintain consistent documentation, root-cause analysis, remediation tracking, and reporting to Compliance Management.
• Conduct and/or oversee electronic communications reviews, including identification, escalation, documentation, and follow-up on potential policy, sales practice, outside business activity, marketing, or information barrier concerns.
• Support Control Group processes, including restricted/watch list surveillance, wall crossing notifications, removal procedures, surveillance notes, and related metrics.
• Partner with Registrations, Supervision, Operations, Legal, Marketing Compliance, and Monitoring & Testing to identify emerging risks, strengthen controls, and support timely remediation.
• Provide practical regulatory advice and escalation support to senior Compliance Management on branch, operations, control group, complaint, surveillance, and regulatory reporting-related matters.

Qualifications

• Minimum of 7–10 years of broker-dealer, investment adviser, compliance, legal, audit, supervision, operations, or related financial services experience, with sufficient seniority to operate at a Vice President level.
• Prior experience with branch compliance, customer complaints, trade errors, electronic communications review, surveillance, regulatory reporting, regulatory examinations, or operational controls strongly preferred.
• Demonstrated ability to assess regulatory reporting implications, evaluate reportable events, coordinate data validation, and document conclusions for complaints, representative disclosures, transaction reporting escalations, and regulatory inquiries.
• Strong working knowledge of SEC, FINRA, MSRB, and state securities regulatory requirements applicable to broker-dealer and investment advisory activities.
• Ability to evaluate facts, identify regulatory and operational risks, document conclusions, and escalate matters appropriately to Compliance Management, Legal, and business partners.
• Experience with retail wealth management, brokerage products, advisory programs, alternative investments, structured products, and/or branch office operations preferred.
• FINRA Series 7 and Series 24 or other relevant securities licenses preferred; willingness to obtain licenses as needed.
• Bachelor’s degree required; advanced degree, compliance certification, or relevant professional designation a plus.

Skills

• Sound judgment, strong issue-spotting skills, and the ability to make practical, risk-based recommendations in a fast-paced compliance environment.
• Excellent written communication skills, including the ability to prepare concise summaries, escalation notes, regulatory response support, management updates, and formal issue documentation.
• Strong interpersonal skills and credibility when working with senior Compliance Management, Legal, Supervision, Operations, Private Advisors, and business leadership.
• Ability to analyze complex facts, connect issues across systems and processes, and distinguish routine operational matters from higher-risk regulatory or client-facing concerns.
• Highly organized, detail-oriented, and able to manage multiple open matters, deadlines, trackers, and follow-ups without losing sight of broader compliance priorities.
• Comfortable working independently while also collaborating across Compliance, Legal, Operations, Technology, Supervision, and business teams.
• Proficiency with Microsoft Office, compliance case management tools, surveillance platforms, communication review systems, and data/reporting tools preferred.

Compensation Range

The anticipated base salary range for this role is $130,000 to $160,000. Base salary for the role will depend on several factors, including a candidate’s qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more. Visit careers.rockco.com to learn more about additional opportunities and benefits offerings.

Disclosure

Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, “Rockefeller”) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law (“protected characteristics”).

Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.