Regional Supervision Associate

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 35 markets throughout the United States, as well as an office in London. The Firm oversees $228 billion in client assets as of July 31, 2026.

Position:

The Regional Supervision Associate 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:

• Assist in the oversight for advisory teams within the Northern Hub
• Assist in 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), or willingness to obtain
• 3-5 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”).

 

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