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 RGFO Compliance Team is seeking a Compliance Analyst to assist with various aspects of the Compliance branch program including, regulatory advice and guidance, policy interpretation, conducting testing/monitoring activities, registrations and licensing, policy drafting and other related activities.

Responsibilities:

• Participate as a team member supporting the RGFO branch coverage, advisory, registration business coverage areas.
• Assist in the maintenance of various policies and procedures, including the RGFO Branch Compliance Manual and related policies.
• Conduct surveillance of branch related activities and serve as an escalation point to business and Compliance Management.
• Must be visible and available to consult with Compliance Management and Office Leadership teams.
• Assist the Registrations team completing various tasks including, FINRA address changes, preparing pre-hire reports, insurance licensing requests and renewals, etc.
• Assist with creating monthly reports and key metrics.
• Assist with draft formal reports that summarize key risks, issues and/or recommended actions.
• Assist with compliance oversight including developing and maintaining effective controls designed to monitor the effectiveness of the compliance program.
• Advise senior Compliance Management on emerging compliance risks and issues.

Qualifications:

• Minimum of 3 years of Compliance/Audit or related experience.
• An understanding of various SEC and FINRA Rules and Regulations.
• Ability to exhibit excellent judgement and escalation to management.
• General foundational knowledge of financial services and various product offerings.
• Willingness to participate in tactical and strategic department initiatives.
• The ability to work independently and as part of a team.
• FINRA Series 7 and/or other licenses preferred, not required.

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 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 database experience.

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”).

 

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