Divisional Business Manager

About Rockefeller Capital Management

Rockefeller Capital Management is a leading independent financial advisory firm – providing wealth management, asset management, and strategic advisory services to ultra- and high-net-worth individuals, families, businesses, and institutions. Led by President & CEO Gregory J. Fleming, the firm offers an elevated experience based on traditional Rockefeller global family office values of excellence and service.

Formed in 2018 following the acquisition of Rockefeller & Co., Inc., the firm is rapidly extending its historic brand into contemporary markets. Based in New York City, it has over forty offices in the United States and London and oversees some $112 billion in client assets.

Position

Rockefeller Capital Management seeks highly motivated, energetic, insightful, and creative investment professionals to join the Firm’s growing Divisional Supervision Team in our New York Metro Division. As an Divisional Business Manager responsible for the supervision of sales practices activities for the Advisor teams they cover, the opportunity will provide candidates with a culture of service & integrity; design & execution excellence; teamwork and collaboration within a fast-paced growing ultra-high net worth dually registered Broker-Dealer & Investment Advisor.

Responsibilities

• The duties and responsibilities of this role within Divisional Supervision Team will range from performing ongoing daily & periodic account monitoring (e.g., suitability, product suitability, etc.) through contributing to the execution of the Firm’s overall supervisory program including Sales Practices, Policies & Procedures, and monitoring tools & techniques – e.g., Surveillance reports, Datamart, SMARSH & Lexis Nexis.
• Support Divisional Leadership Teams, Private Wealth Advisor Teams (Private Wealth Management & Global Family Office)
• Support Product Groups in the home office through the oversight of advice, guidance, inquiry, and interactions.

Qualifications

• Ideal candidates will have and/or be willing to obtain a combination of the following FINRA registrations (e.g., Series 7-9-10-24-63-65-66).
• A successful candidate will have a minimum of 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-passed 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.

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