Compliance - Branch Examiner chez 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:

The Compliance team within the Rockefeller Global Family Office division of RCM is seeking a detail-oriented and experienced candidate to lead its Branch Examinations program. The role will also collaborate with branch managers to address and remediate Compliance issue. The successful candidate will be responsible for conducting examinations of branch offices to ensure adherence to regulatory requirements, firm policies, and industry’s best practices.

Responsibilities:

• Assist in the development and enhancement of branch examination protocols and tools.
• Conduct routine and targeted examinations of branch offices and applicable RCM divisions, including onsite and remote reviews.
• Evaluate supervisory systems, sales practices, recordkeeping, and other matters for adherence to firm policies and procedures.
• Identify potential weaknesses and risks in operational functions, including documenting needs for improvement.
• Prepare detailed examination reports, identifying findings, risks, and recommendations for remediation.
• Issue exam reports, including corrective actions plans, and present findings to stakeholders.
• Collaborate with branch managers and registered representatives to address and resolve compliance issues.
• Monitor corrective actions and follow up on outstanding issues.
• Stay current on FINRA, SEC, and other regulatory developments affecting branch operations.
• Maintain proficiency in all aspects of Firm’s policies and procedures to provide efficient and constructive enhancements to the Compliance program.
• Provide training and guidance to branch personnel on compliance-related matters.

Qualifications:

• Bachelor’s degree in Economics, Finance, Business, or related field, a plus.
• Seven to Ten years of Compliance/Audit/Testing or related experience.
• Prior experience with broker-dealer or investment advisory operations.
• Ability and willingness to travel as needed to conduct onsite examinations.
• Strong knowledge of FINRA, SEC, and other applicable regulatory requirements.
• FINRA Series 7 and 24 preferred, not required.

Skills:

• Familiarity with risk-based examination frameworks.
• Excellent analytical, communication, and report-writing skills.
• Excels in a dynamic environment and demonstrates the ability to adapt to multiple projects and priorities.
• Ability to exhibit excellent judgement and escalation to management.
• General foundational knowledge of financial services and various product offerings.
• Ability to work independently and manage multiple priorities.
• Willingness to participate in tactical and strategic department initiatives.
• Adaptability to thrive in a dynamic and fast-paced environment.
• Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner.
• Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making.
• Demonstrated ability to work effectively and cross-functionally with employees at all levels.
• Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.
• Ability to analyze matters combined with the willingness and ability to perform routine tasks.
• Ability to work collaboratively and independently.
• Excellent organizational skills and ability to handle multiple projects at one time.
• The ideal candidate will have MS Office and data analysis experience.
• Proficiency in compliance monitoring and order entry systems, such as Actimize and StarCompliance

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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