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Client Associate
Rockefeller Capital Management
Grand Rapids, MI
Added 2 hours ago
Financial Planning and Investment Associate
Rockefeller Capital Management
Atlanta, GA
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Rockefeller Capital Management
New York, NY
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Rockefeller Capital Management
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Added 18 days ago
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Rockefeller Capital Management
Chicago, IL
Added 18 days ago
Regional Supervision Manager
Rockefeller Capital Management
Woodmere, OH
Added 18 days ago
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Rockefeller Capital Management

Regional Supervision Manager

Woodmere, OH, United States

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Job details

Apply by: Oct 29, 2027
Posting language: English
Posted: Oct 29, 2024

Original 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 37 markets throughout the United States, as well as an office in London. The Firm oversees $236 billion in client assets as of September 30, 2026.

Position

The Regional Supervision Manager is responsible for participating in business supervision, support, and strategic execution for assigned advisory teams. This role partners closely with Private Advisors and senior leadership to ensure effective team management, supervisory discipline, and alignment with firm standards and objectives.

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

Qualifications

Ideal candidates will have a combination of the following FINRA registrations (e.g., Series 7, 9, 10, 63, 65, 66)
7-10+ years in the securities industry; experience in supervisory control functions, account monitoring / surveillance, supervision, sales practices, and regulatory compliance highly desirable

Skills

Proficiency in supervisory oversight routines for broker-dealer and / or registered investment advisor practices.
Able to navigate a fast-paced environment of swift regulatory change.
Demonstrated ability to deliver subject matter expertise & service with speed and precision.
Risk based approach to creative problem solving.
Highly motivated achiever
Comfortable as team player as well as individual independent contributor

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.