Compliance Analyst - 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 $133 billion in client assets as of March 31, 2024.

Position:

The Compliance Officer will support the Rockefeller Asset Management’s Compliance program, with a focus on testing and monitoring. Responsibilities will also include the development of sustainable controls where control weaknesses are identified during testing. Participation in the firm’s CRA and RCSA processes.

Responsibilities:

• Participate in the development of the annual Compliance testing plan
• Propose methods of testing and execute plans
• Gather data, perform analyses, and document results
• Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
• Draft formal reports that summarize key risks, issues and/or recommended actions
• Assist with the development of corrective action plans related to matters identified through testing
• Leverage strong communication skills to interact with the compliance teams and members of various business lines
• Execute multiple projects at the same time and meet tight deadline

Qualifications:

• 1-3 years relevant experience
• Bachelors degree
• Previous experience working on a Compliance testing, internal audit or consulting firm teams
• Demonstrated compliance, supervision or legal experience with a broker-dealer or registered investment advisor required, knowledge of complex products is a plus
• Knowledge of the securities industry, from a product, corporate governance, compliance and operational perspective
• Deadline-oriented and the ability to analyze matters appropriately
• Working knowledge and experience of Investment Advisers Act of 1940, Investment Company Act of 1940; knowledge of UCITS regulations

Skills:

• Strong business judgment compliance skills
• 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 work collaboratively and independently
• Excellent organizational skills and ability to handle multiple projects at one time
• Ability to analyze matters combined with the willingness and ability to perform routine tasks
• Skilled in Microsoft suite, including, Word, Excel, and PowerPoint and database experience

Compensation Range:

The anticipated base salary range for this role is $75,000 to $80,000. 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.