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
Compensation Range
The anticipated base salary range for this role is $85,000 to $100,000. Base salary for the role will depend on several factors, including a candidates 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.
