What are the responsibilities and job description for the Associate Divisional Business Director position at 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
Rockefeller Capital Management seeks highly motivated, energetic, insightful, and creative investment professionals to join the Firm’s growing Divisional Supervision Team in our Grand Rapids office. As an Associate Divisional Business Director responsible for the supervision of sales practices activities for the Advisor teams they cover, the opportunity will provide candidates with a culture of service & integrity; design & execution excellence; teamwork and collaboration within a fast-paced growing ultra-high net worth dually registered Broker-Dealer & Investment Advisor.
Responsibilities
The duties and responsibilities of this role within Divisional Supervision Team will range from performing ongoing daily & periodic account monitoring (e.g., suitability, product suitability, etc.) through contributing to the execution of the Firm’s overall supervisory program including Sales Practices, Policies & Procedures, and monitoring tools & techniques – e.g., Surveillance reports, Datamart, SMARSH & Lexis Nexis. This role will support Divisional Leadership Teams, Private Wealth Advisor Teams (Private Wealth Management & Global Family Office) – as well as Product Groups in the home office – through the oversight of advice, guidance, inquiry, and interactions.
Qualifications
Ideal candidates will have and/or be willing to obtain a combination of the following FINRA registrations (e.g., Series 7-9-10-24-63-65-66). A successful candidate will have a minimum of 3-5 years in the securities industry; experience in supervisory control functions, account monitoring / surveillance, supervision, sales practices, and regulatory compliance highly desirable.
Skills
• Proficiency in supervisory oversight routines for broker-dealer and / or registered investment advisor practices.
• Able to navigate a fast-passed environment of swift regulatory change.
• Demonstrated ability to deliver subject matter expertise & service with speed and precision.
• Risk based approach to creative problem solving.
• Highly motivated achiever
• Comfortable as team player as well as individual independent contributor
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.
