Rockefeller Capital Management
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Compliance Analyst
role at
Rockefeller Capital Management .
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 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.
Position The Compliance Analyst will support Rockefeller Asset Management’s Compliance program, with a focus on testing and monitoring. Responsibilities will also include the development of sustainable controls where control weaknesses are identified during testing. Participation in the firm’s CRA and RCSA processes.
Responsibilities
Participate in the development of the annual Compliance testing plan
Responsible for maintaining related test-work papers according to Firm standards
Draft formal reports that summarize key risks, issues and/or recommended actions
Assist with the development of corrective action plans related to matters identified through testing
Collaborate closely with the technology team to identify creative solutions and, wherever possible, to enhance automation of surveillance tasks
Assist in the production of monthly reports and metrics
Assist with regulatory filings including Sections 13D/G, 13F and 13H
Provide support to the Portfolio Compliance team on DDQ’s, Compliance certifications, and other various tasks as needed
Qualifications
2-4 years relevant experience
Bachelor’s degree Required
Previous experience working on a Compliance testing, internal audit or consulting firm teams
Demonstrated compliance, supervision or legal experience with a broker-dealer or registered investment advisor required, knowledge of complex products is a plus
Knowledge of the securities industry, from a product, corporate governance, compliance and operational perspective
Deadline-oriented and the ability to analyze matters appropriately
Working knowledge and experience of Investment Advisers Act of 1940, Investment Company Act of 1940
Skills
Strong business judgment compliance skills
Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner
Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making
Demonstrated ability to work effectively and cross-functionally with employees at all levels and develop effective working relationships
Highly motivated self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment
Ability to work collaboratively and independently
Excellent organizational skills and ability to handle multiple projects at one time
Ability to analyze matters combined with the willingness and ability to perform routine tasks with little or no supervision
Skilled in Microsoft suite, including Word, Excel, and PowerPoint and database experience
Experience with Bloomberg AIM or Perform a plus
Compensation The anticipated base salary range for this role is $70,000 to $85,000. Base salary 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. In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more. 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.
Seniority level
Not Applicable
Employment type
Full-time
Job function
Legal
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Compliance Analyst
role at
Rockefeller Capital Management .
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 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.
Position The Compliance Analyst will support Rockefeller Asset Management’s Compliance program, with a focus on testing and monitoring. Responsibilities will also include the development of sustainable controls where control weaknesses are identified during testing. Participation in the firm’s CRA and RCSA processes.
Responsibilities
Participate in the development of the annual Compliance testing plan
Responsible for maintaining related test-work papers according to Firm standards
Draft formal reports that summarize key risks, issues and/or recommended actions
Assist with the development of corrective action plans related to matters identified through testing
Collaborate closely with the technology team to identify creative solutions and, wherever possible, to enhance automation of surveillance tasks
Assist in the production of monthly reports and metrics
Assist with regulatory filings including Sections 13D/G, 13F and 13H
Provide support to the Portfolio Compliance team on DDQ’s, Compliance certifications, and other various tasks as needed
Qualifications
2-4 years relevant experience
Bachelor’s degree Required
Previous experience working on a Compliance testing, internal audit or consulting firm teams
Demonstrated compliance, supervision or legal experience with a broker-dealer or registered investment advisor required, knowledge of complex products is a plus
Knowledge of the securities industry, from a product, corporate governance, compliance and operational perspective
Deadline-oriented and the ability to analyze matters appropriately
Working knowledge and experience of Investment Advisers Act of 1940, Investment Company Act of 1940
Skills
Strong business judgment compliance skills
Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner
Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making
Demonstrated ability to work effectively and cross-functionally with employees at all levels and develop effective working relationships
Highly motivated self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment
Ability to work collaboratively and independently
Excellent organizational skills and ability to handle multiple projects at one time
Ability to analyze matters combined with the willingness and ability to perform routine tasks with little or no supervision
Skilled in Microsoft suite, including Word, Excel, and PowerPoint and database experience
Experience with Bloomberg AIM or Perform a plus
Compensation The anticipated base salary range for this role is $70,000 to $85,000. Base salary 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. In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more. 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.
Seniority level
Not Applicable
Employment type
Full-time
Job function
Legal
#J-18808-Ljbffr