Wealth Management - Senior Compliance Officer

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 33 markets throughout the United States, as well as an office in London. The Firm oversees $224 billion in client assets as of June 30, 2026.

The Rockefeller Global Family Office Compliance Team is seeking a senior Compliance professional to provide coverage for the Firm’s broker-dealer and investment advisory compliance program. The role is intended to provide coverage for core branch, operations, and regulatory reporting responsibilities, including customer complaints, trade errors, electronic communications reviews, restricted and watch list surveillance, wall crossing processes, regulatory filings and inquiries, operational controls, and related testing, monitoring, escalation, and advisory activities.

The candidate should be able to operate independently, exercise sound judgment, manage sensitive escalations, and provide practical guidance to Compliance Management and business partners.

• Serve as a key member of the RGFO Compliance Team with primary responsibility for branch and operations compliance coverage, including complaints, trade errors, electronic communications, restricted/watch list surveillance, regulatory reporting, and related escalation processes.
• Manage and support customer complaint intake, classification, investigation, tracking, disposition, and regulatory reporting analyses, including coordination with Legal, Supervision, Operations, and business stakeholders.
• Oversee regulatory reporting support for complaint reporting, Form U4 and Form U5 disclosure analyses, TRACE and CAT escalations, regulatory inquiries, exam responses, and other broker-dealer or investment adviser reporting obligations as needed.
• Partner with Operations, Supervision, Registrations, Legal, Technology, and business teams to evaluate reportable events, assess timeliness and completeness, validate supporting data, and document reporting conclusions.
• Maintain regulatory reporting trackers, exception logs, evidence files, control documentation, and management reporting to support supervisory review, audit readiness, regulatory examinations, and senior management oversight.
• Review and assess trade errors, operational issues, and escalation matters; help maintain consistent documentation, root-cause analysis, remediation tracking, and reporting to Compliance Management.
• Conduct and/or oversee electronic communications reviews, including identification, escalation, documentation, and follow-up on potential policy, sales practice, outside business activity, marketing, or information barrier concerns.
• Support Control Group processes, including restricted/watch list surveillance, wall crossing notifications, removal procedures, surveillance notes, and related metrics.
• Partner with Registrations, Supervision, Operations, Legal, Marketing Compliance, and Monitoring & Testing to identify emerging risks, strengthen controls, and support timely remediation.
• Provide practical regulatory advice and escalation support to senior Compliance Management on branch, operations, control group, complaint, surveillance, and regulatory reporting-related matters.

• Minimum of 7–10 years of broker-dealer, investment adviser, compliance, legal, audit, supervision, operations, or related financial services experience, with sufficient seniority to operate at a Vice President level.
• Prior experience with branch compliance, customer complaints, trade errors, electronic communications review, surveillance, regulatory reporting, regulatory examinations, or operational controls strongly preferred.
• Demonstrated ability to assess regulatory reporting implications, evaluate reportable events, coordinate data validation, and document conclusions for complaints, representative disclosures, transaction reporting escalations, and regulatory inquiries.
• Str…