ROCKEFELLER CAPITAL MANAGEMENT
Summer Analyst - Compliance
ROCKEFELLER CAPITAL MANAGEMENT, New York, New York, United States, 10001
Rockefeller Capital Management Summer Analyst Program
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 $151 billion in client assets as of December 31, 2024. Program Overview
Rockefeller Capital Management offers a distinctive Summer Analyst Program experience as a premier independent financial advisory firm. Our diversified businesses, boutique size, and entrepreneurial culture shape a dynamic, personalized experience for our Analysts. Our Summer Analyst program is a ten-week (June-August) internship program designed to provide an opportunity to experience the culture and atmosphere of Rockefeller Capital Management. Summer Analysts will be fully immersed in the day-to-day activities of the business providing opportunities to learn, grow, and excel. Key highlights of the program include: Mentorship program to support learning and development. Weekly speaker series to promote a deep understanding of the firm, our culture and share personal perspectives from employees. Intensive training on our business model and how employees of the firm contribute to achieving our goals. Frequent connectivity with other Summer Analysts and our program team. Round table discussions on current events with macro and micro relevance to our business. Opportunities to exchange ideas and network with peers, mentors, and senior leaders throughout the firm. Position
Rockefeller Capital Management's Compliance function is looking for a Summer Analyst to support the team. The Summer Analyst will work hand-in-hand with various groups within the Enterprise Compliance function. The Summer Analyst will have the opportunity to work alongside compliance professionals that provide day-to-day support to our business (e.g. private wealth management, investment banking and asset management) as well as our compliance professionals that conduct testing and run initiatives supporting our compliance program. The ideal candidate is one that is thorough in their work, operates with a high attention to detail, has strong communication, organization, time management and problem-solving skills, and is driven to develop and grow in their role. Responsibilities
Assist with key initiatives that support enhancing our Firm and promote the Firm's growth in compliance with relevant laws, rules and regulations Conduct targeted compliance and business reviews in an effort to support our business partners with regulatory obligations Assist with programs for educating and training personnel on compliance, regulatory and risk management issues. Assist in the drafting of compliance policies and procedures. Perform surveillance, monitoring and testing to ensure effectiveness of the Compliance program. Assist in management of the workflows and documents relating to certain compliance processes. Conduct research on regulatory topics. Lead administrative and technical trouble-shooting related projects. Assist in the preparation of meeting materials and/or decks/slides. Qualifications
High school degree required. Pursuing a degree with a concentration in Finance, Economics, Criminal Justice, Forensics, or Business is desirable, but not required. Aspiring law student is a plus. Prior internship experience in financial services or legal/compliance experience a plus. Skills
Proactive; the ability to respond creatively and quickly in a fast-paced, changing environment Strong technology skills with the ability to create efficiencies and understand different systems and processes Ability to work independently under general direction with latitude for initiative and independent judgment Strong analytical and organizational skills Excellent interpersonal and communication skills; the ability to articulate ideas clearly Highly motivated and adaptable; the ability to work on a team of diverse individuals Displays commitment to excellence and attention to detail with sound judgment and integrity Ability to work effectively and professionally at all levels within the organization Maintains confidentiality of information, exercises appropriate discretion and uses information appropriately Completes work in a timely manner, prioritizes competing demands appropriately and meets deadlines Ability to adapt and be flexible to changing priorities on a daily basis Keen interest in compliance frameworks and financial markets High proficiency in Microsoft Office
Outlook, Word, Excel and Power Point Compensation Range
The anticipated hourly rate for this role is $35.00/hour. Hourly rate for the role will depend on several factors, including a candidate's qualifications, skills, competencies, and experience, and may fall outside of the range shown. Visit careers.rockco.com to learn more about additional opportunities and benefits offerings. 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.
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 $151 billion in client assets as of December 31, 2024. Program Overview
Rockefeller Capital Management offers a distinctive Summer Analyst Program experience as a premier independent financial advisory firm. Our diversified businesses, boutique size, and entrepreneurial culture shape a dynamic, personalized experience for our Analysts. Our Summer Analyst program is a ten-week (June-August) internship program designed to provide an opportunity to experience the culture and atmosphere of Rockefeller Capital Management. Summer Analysts will be fully immersed in the day-to-day activities of the business providing opportunities to learn, grow, and excel. Key highlights of the program include: Mentorship program to support learning and development. Weekly speaker series to promote a deep understanding of the firm, our culture and share personal perspectives from employees. Intensive training on our business model and how employees of the firm contribute to achieving our goals. Frequent connectivity with other Summer Analysts and our program team. Round table discussions on current events with macro and micro relevance to our business. Opportunities to exchange ideas and network with peers, mentors, and senior leaders throughout the firm. Position
Rockefeller Capital Management's Compliance function is looking for a Summer Analyst to support the team. The Summer Analyst will work hand-in-hand with various groups within the Enterprise Compliance function. The Summer Analyst will have the opportunity to work alongside compliance professionals that provide day-to-day support to our business (e.g. private wealth management, investment banking and asset management) as well as our compliance professionals that conduct testing and run initiatives supporting our compliance program. The ideal candidate is one that is thorough in their work, operates with a high attention to detail, has strong communication, organization, time management and problem-solving skills, and is driven to develop and grow in their role. Responsibilities
Assist with key initiatives that support enhancing our Firm and promote the Firm's growth in compliance with relevant laws, rules and regulations Conduct targeted compliance and business reviews in an effort to support our business partners with regulatory obligations Assist with programs for educating and training personnel on compliance, regulatory and risk management issues. Assist in the drafting of compliance policies and procedures. Perform surveillance, monitoring and testing to ensure effectiveness of the Compliance program. Assist in management of the workflows and documents relating to certain compliance processes. Conduct research on regulatory topics. Lead administrative and technical trouble-shooting related projects. Assist in the preparation of meeting materials and/or decks/slides. Qualifications
High school degree required. Pursuing a degree with a concentration in Finance, Economics, Criminal Justice, Forensics, or Business is desirable, but not required. Aspiring law student is a plus. Prior internship experience in financial services or legal/compliance experience a plus. Skills
Proactive; the ability to respond creatively and quickly in a fast-paced, changing environment Strong technology skills with the ability to create efficiencies and understand different systems and processes Ability to work independently under general direction with latitude for initiative and independent judgment Strong analytical and organizational skills Excellent interpersonal and communication skills; the ability to articulate ideas clearly Highly motivated and adaptable; the ability to work on a team of diverse individuals Displays commitment to excellence and attention to detail with sound judgment and integrity Ability to work effectively and professionally at all levels within the organization Maintains confidentiality of information, exercises appropriate discretion and uses information appropriately Completes work in a timely manner, prioritizes competing demands appropriately and meets deadlines Ability to adapt and be flexible to changing priorities on a daily basis Keen interest in compliance frameworks and financial markets High proficiency in Microsoft Office
Outlook, Word, Excel and Power Point Compensation Range
The anticipated hourly rate for this role is $35.00/hour. Hourly rate for the role will depend on several factors, including a candidate's qualifications, skills, competencies, and experience, and may fall outside of the range shown. Visit careers.rockco.com to learn more about additional opportunities and benefits offerings. 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.