Compliance Officer bei Rockefeller Capital Management

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 30 markets throughout the United States, as well as an office in London. The Firm oversees $151 billion in client assets as of December 31, 2024.

Position:

We are seeking a seasoned compliance professional to lead and oversee fund marketing compliance initiatives. This role requires a strategic thinker with deep expertise across multiple fund structures—including hedge funds, private equity, private credit, and registered funds—and a proven ability to operate autonomously.

 

The ideal candidate will serve as a senior advisor to the business, ensuring all marketing and communications materials meet regulatory standards and internal policies. This individual will be instrumental in shaping the firm’s marketing compliance framework and will collaborate closely with legal, investment, and distribution teams.

Responsibilities:

• Lead the review and approval of marketing materials including presentations, factsheets, commentaries, videos, podcasts, websites, RFPs, DDQs, and investor communications for compliance with SEC Marketing Rule, FINRA Rule 2210, Investment Company Act of 1940, and other applicable regulations 
• Provide strategic compliance guidance on fund launches, investor communications, and distribution strategies across private and registered fund platforms.
• Serve as the designated Marketing Materials Principal, ensuring all public-facing content is fair, balanced, and accurate, and retained per firmwide policies 
• Partner with investment and distribution teams to proactively identify compliance risks and implement controls.
• Monitor regulatory developments and assess their impact on marketing practices; update policies and procedures accordingly.
• Lead compliance training sessions for marketing, investment, and client-facing teams.
• Collaborate with external counsel and regulators as needed on fund-related marketing matters.

Qualifications:

• Minimum 10 years of experience in fund marketing compliance, preferably within asset management or financial services.
• Deep understanding of regulatory frameworks governing fund marketing, including SEC, FINRA, and global equivalents.
• Demonstrated experience working across multiple fund types (hedge, private equity, credit, registered).
• Strong communication skills with the ability to deliver clear, actionable guidance to senior stakeholders.
• Proven ability to work independently and manage complex compliance workflows without formal training.
• Bachelor’s degree required; advanced degree preferred.
• FINRA Series 7 and 24 licenses a plus.

Skills:

• Strategic mindset with a proactive approach to risk mitigation.
• High attention to detail and organizational rigor.
• Ability to thrive in a fast-paced, collaborative environment.
• Experience with compliance systems and marketing review platforms (e.g., Seismic).

Compensation Range:

The anticipated base salary range for this role is $185,000 to $200,000. 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.

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