Senior Compliance Lead — Broker-Dealer & Advisory
Job in
Hamilton Township, Mercer County, New Jersey, USA
Listed on 2026-08-21
Listing for:
Rockefeller Capital Management
Full Time
position Listed on 2026-08-21
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
Rockefeller Capital Management seeks a senior Compliance professional to lead coverage for broker-dealer and investment adviser compliance programs within the RGFO team.
You will manage branch operations, customer complaints, trade errors, surveillance, and regulatory reporting while coordinating with Legal, Operations, and risk partners to ensure timely, accurate disclosures and escalation handling.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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