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Senior Wealth Compliance Leader – Broker-Dealer & Reg Reporting
Job in
Hamilton, Atlantic County, New Jersey, USA
Listed on 2026-08-20
Listing for:
Rockefeller Capital Management
Full Time
position Listed on 2026-08-20
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Rockefeller Capital Management is seeking a senior Compliance professional to cover the broker-dealer and investment adviser compliance program within the Rockefeller Global Family Office. The role emphasizes independent operation, escalation management, and practical guidance across Compliance Management and business partners.
The ideal candidate will bring 7–10 years of relevant experience, strong knowledge of SEC/FINRA rules, and experience with complaint handling, reporting, and
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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