Compliance Analyst Jobs

About Rockefeller Capital Management

Rockefeller Capital Management is a leading independent financial advisory firm – providing wealth management, asset management, and strategic advisory services to ultra- and high-net-worth individuals, families, businesses, and institutions. Led by President & CEO Gregory J. Fleming, the firm offers an elevated experience based on traditional Rockefeller global family office values of excellence and service.

Formed in 2018 following the acquisition of Rockefeller & Co., Inc., the firm is rapidly extending its historic brand into contemporary markets. Based in New York City, it has over forty offices in the United States and London and oversees some $95 billion in client assets.

Position

The Compliance Officer will support the 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 in during testing. Participation in the firm’s CRA and RCSA processes.

Responsibilities

• Draft formal reports that summarize key risks, issues and/or recommended actions
• Responsible for maintaining related test-work papers according to Firm standards
• Collaborate closely with the technology team to identify creative solutions and, wherever possible, to enhance automation of surveillance tasks
• Participate in the development of the annual Compliance testing plan
• Assist with the development of corrective action plans related to matters identified through testing
• Back up investment guideline. Compliance officer
• Assist in the production of monthly reports and metrics
• Assist with regulatory filings including Sections 13D/G, 13F and 13H

Qualifications

• 2-4 years relevant experience
• Working knowledge and experience of Investment Advisers Act of 1940, Investment Company Act of 1940; knowledge of UCITS regulations
• Knowledge of the securities industry, from a product, corporate governance, compliance and operational perspective
• Demonstrated compliance, supervision or legal experience with a broker-dealer or registered investment advisor required, knowledge of complex products is a plus
• Bachelors degree
• Previous experience working on a Compliance testing, internal audit or consulting firm teams
• Deadline-oriented and the ability to analyze matters appropriately

Skills

• 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
• Ability to analyze matters combined with the willingness and ability to perform routine tasks
• Skilled in Microsoft suite, including, Word, Excel, and PowerPoint and database experience
• Excellent organizational skills and ability to handle multiple projects at one time
• Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment
• Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner
• Strong business judgment compliance skills
• Ability to work collaboratively and independently

Compensation Range

The anticipated base salary range for this role is $75,000 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.