Central Supervision Analyst

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 35 markets throughout the United States, as well as an office in London. The Firm oversees $237 billion in client assets as of August 31, 2026.

Position

The Central Supervision Analyst will support the Rockefeller Capital Management Business Supervision team through control execution, supervisory monitoring, data analysis, control design, reporting, and supervisory technology initiatives.

Responsibilities

• Utilize, create, and maintain reporting and surveillance tools to identify trends, risks, exceptions, and supervisory metrics that support the Firm’s business supervision framework.
• Monitor investment guidelines, trading restrictions, account eligibility requirements, and supervisory controls to ensure activity is reviewed and acted upon in accordance with Firm policies and regulatory requirements.
• Assist with supervisory governance activities, including preparation of agendas, presentations, dashboards, metrics, projects, meeting materials, action items, and follow-up activities.
• Maintain internal supervisory procedures and documentation and recommend enhancements to address evolving business practices, regulatory expectations, and supervisory risks.
• Own, operate, monitor, and provide back-up coverage for a portfolio of critical supervisory controls spanning trading, conduct, suitability, AML, fraud prevention, and regulatory risk areas.
• Investigate supervisory exceptions, alerts, and control breaches, documenting conclusions and escalating matters requiring additional review or action.
• Conduct reviews designed to identify potential fraud, employee-client relationships, documentation anomalies, account restrictions, and other conduct-risk indicators.
• Partner with Divisional Business Directors, Compliance, Operations, Product Management, Legal, and other stakeholders to drive timely remediation of identified supervisory issues.
• Assist with Customer Identification Program (CIP) supervision, AML surveillance activities, review of restricted or sanctioned securities, and escalation of unresolved alerts.
• Support trade surveillance and real-time monitoring of the Firm’s pre-trade and post-trade control environment, including review-and-release workflows and exception management.
• Participate in control design, enhancement, calibration, effectiveness testing, and validation activities to ensure supervisory controls continue to operate as intended.
• Support the technology control framework through regression testing, user acceptance testing (UAT), data validation, and implementation testing for new or modified supervisory applications and controls.
• Serve as a subject matter resource and point of contact for supervision applications, surveillance tools, supervisory controls, and related business processes.
• Assist with AI initiatives within Business Supervision by identifying repetitive activities suitable for automation, developing and deploying AI-enabled workflows, skills, and agents, and supporting the ongoing calibration and governance of those solutions.
• Provide business continuity support through cross-training and back-up supervisory coverage for critical daily controls.

Qualifications

• Bachelor’s degree preferred.
• 2+ years of experience in financial services, risk management, supervision, compliance, operations, surveillance, audit, or related control functions.
• Understanding of broker-dealer and/or investment advisory business models, supervisory frameworks, and financial products.
• Knowledge of securities regulations, supervisory controls, suitability requirements, AML/CIP programs, and conduct risk monitoring preferred.
• Experience utilizing data analytics, reporting tools, workflow technologies, and supervisory applications is a plus.
• Experience working with AI tools, workflow automation, or supervisory technology platforms is preferred.

Skills

• Supervisory & Regulatory Skills:
  • Strong analytical and critical thinking skills with the ability to evaluate exceptions, identify root causes, and determine appropriate escalation paths.
  • Understanding of supervisory controls, conduct risk, suitability obligations, AML/CIP requirements, and regulatory expectations within wealth management.
  • Ability to investigate alerts, document conclusions, and recommend remediation actions.
• AI & Automation Skills
  • Ability to leverage AI tools and platforms, including Copilot, Claude, and similar technologies, to improve supervisory processes, automate repetitive activities, analyze data, develop workflow solutions, and enhance control effectiveness.
  • Ability to balance AI-enabled efficiencies with appropriate human oversight, judgment, and supervisory accountability.
• Advanced Microsoft Excel and PowerPoint capabilities.
• Strong aptitude for data analysis, reporting, trend identification, and dashboard development.
• Experience utilizing supervisory, surveillance, workflow, and technology platforms.
• Ability to perform UAT testing, regression testing, data validation, and control calibration activities.
• Ability to work independently and collaboratively in a fast-paced environment.
• Strong attention to detail and commitment to accuracy.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities and adjust to changing business needs.
• Strong interpersonal skills and ability to build effective partnerships across business units.
• Ability to exercise discretion and maintain confidentiality.
• Entrepreneurial mindset with a continuous improvement orientation and desire to enhance business processes and controls.

Compensation Range

The anticipated base salary range for this role is $80,000 to $100,000. 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.

- Utilize, create, and maintain reporting and surveillance tools to identify trends, risks, exceptions, and supervisory metrics that support the Firm’s business supervision framework. - Monitor investment guidelines, trading restrictions, account eligibility requirements, and supervisory controls to ensure activity is reviewed and acted upon in accordance with Firm policies and regulatory requirements. - Assist with supervisory governance activities, including preparation of agendas, presentations, dashboards, metrics, projects, meeting materials, action items, and follow-up activities. - Maintain internal supervisory procedures and documentation and recommend enhancements to address evolving business practices, regulatory expectations, and supervisory risks. - Own, operate, monitor, and provide back-up coverage for a portfolio of critical supervisory controls spanning trading, conduct, suitability, AML, fraud prevention, and regulatory risk areas. - Investigate supervisory exceptions, alerts, and control breaches, documenting conclusions and escalating matters requiring additional review or action. - Conduct reviews designed to identify potential fraud, employee-client relationships, documentation anomalies, account restrictions, and other conduct-risk indicators. - Partner with Divisional Business Directors, Compliance, Operations, Product Management, Legal, and other stakeholders to drive timely remediation of identified supervisory issues. - Assist with Customer Identification Program (CIP) supervision, AML surveillance activities, review of restricted or sanctioned securities, and escalation of unresolved alerts. - Support trade surveillance and real-time monitoring of the Firm’s pre-trade and post-trade control environment, including review-and-release workflows and exception management. - Participate in control design, enhancement, calibration, effectiveness testing, and validation activities to ensure supervisory controls continue to operate as intended. - Support the technology control framework through regression testing, user acceptance testing (UAT), data validation, and implementation testing for new or modified supervisory applications and controls. - Serve as a subject matter resource and point of contact for supervision applications, surveillance tools, supervisory controls, and related business processes. - Assist with AI initiatives within Business Supervision by identifying repetitive activities suitable for automation, developing and deploying AI-enabled workflows, skills, and agents, and supporting the ongoing calibration and governance of those solutions. - Provide business continuity support through cross-training and back-up supervisory coverage for critical daily controls.