Compliance Associate

Rockefeller & Co., Inc. - New York, NY


Position Title:
Compliance Associate

Chief Compliance Officer of Rockefeller Financial LLC

Broad Function and Scope of the Position:
This position will sit within the Legal & Compliance Group within Rockefeller Capital Management’s Legal & Compliance Department, reporting directly to the Chief Compliance Officer of Rockefeller Financial LLC.
This individual will provide primary registration and compliance advisory support for the Firm’s Wealth Management and Strategic Advisory businesses, as well as to maintain the registration status of the Firm’s broker-dealer. The position will be responsible for reviewing, onboarding and handling all the pre-clearance registration documentation; submitting deadline driven individual related regulatory form filings; ensuring that all Associated Persons of the broker-dealer have or obtain the necessary regulatory licenses; clearly communicate Continuing Education requirements in a timely manner; closely coordinating with Human Resources and Information Technology during the life cycle of each employee of the broker dealer and investment advisor; providing management reports to Management; as well as updating relevant Employee and/or Firm policies and procedures and working on special projects, as assigned.

This position requires excellent communication skills, attention to detail, strong working knowledge of SEC, FINRA and state registration requirements, and be able to work in a collaborative team environment.

Position Responsibilities:
Provide registration advisory support to Registered Representatives, LOB Management, HR and Operations and Technology on all registration related issues and filings
Review, interpret and internally communicate FINRA regulatory rules and regulation as well as firm policies
Identify and update registration procedures
Timely preparation and maintenance of compliance, registration and risk reports, databases, memos and management reporting metrics
Review, investigate and respond to regulatory requests
Maintain the Compliance File of the Employee Regulatory Files from a books and records perspective
Ensure that required regulatory filings are prepared and filed with FINRA and other regulators in a timely manner
Assist the firm's Legal Department, as required, with the preparation of discovery documents
Participate in registration and continuing education related projects and programs

Position Qualifications:
Education: BA/BS is required. Must have 3-5 years previous experience and knowledge of broker dealer &/or investment adviser registration, compliance or legal functions or other equivalent regulatory background at a reputable firm.

Must have a strong working knowledge of FINRA’s WebCRD and other registration filing systems. Must be a highly organized, highly detail oriented person who is comfortable working both independently and within a team environment
Must be self-motivated, driven, proactive, personable and able to communicate effectively (written and oral) with senior management and other business and support areas.
Must be able to manage multiple tasks and prioritize workflow with minimal supervision
Advanced knowledge in Microsoft Word and Excel required

Skills: Looking for candidates who are highly motivated, hard workers, with strong judgement. Comfortable dealing with senior leaders, attorneys and regulators. Highly motivated self-starter who will thrive working independently and in a collaborative environment. Integrity and trust: must be a direct, truthful individual who presents facts in an appropriate and helpful manner and finds solutions. Strong professionalism, ability to multi-task and prioritize, experienced problem solver and proofreader, detail-oriented, accurate and timely follow up and responsiveness. Strong organizational skills with outstanding written and verbal communication skills.

As an equal opportunity employer, the Company does not discriminate against applicants or employees on the basis of race, color, religion, gender, national origin, alienage or citizenship, age, pregnancy, pregnancy-related condition (including lactation or the need to express breast milk), status as a victim of domestic violence, military or veteran status, sexual orientation, gender identity or expression, marital or partnership status, caregiver status, creed, genetic predisposition or carrier status, legally recognized disability, political affiliation or any other basis protected by applicable federal, state or local law.