Regional Business Director
Rockefeller Capital Management, Saratoga Springs, NY, United States
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 32 markets throughout the United States, as well as an office in London. The Firm oversees $204 billion in client assets as of January 31, 2026.
Position The Regional Business Director is responsible for overseeing business supervision, leadership support, and strategic execution for assigned advisory teams. This role partners closely with Private Advisors and senior leadership to ensure effective team management, supervisory discipline, and alignment with firm standards and objectives.
Responsibilities
Provide leadership and oversight for advisory teams within the Northern Hub
Serve as a primary point of escalation and support for business and supervision matters
Guide team structure, coverage, and day-to-day business execution across the region
Partner closely with Private Advisors and Managing Directors to support client service delivery and team effectiveness
Act as a liaison between advisory teams and internal partners across Human Capital, Supervision, Compliance, and Operations (where applicable)
Support advisor led initiatives, events, and client communications requiring regional approval or coordination
Ensure regional teams operate within firm guidelines and governance standards
Provide oversight on supervisory requests, approvals, and exception management
Support continuity planning and business transitions as needed
Qualifications
Ideal candidates will have a combination of the following FINRA registrations (e.g., Series 7, 9, 10, 24, 63, 65, 66).
7+ years in the securities industry; experience in supervisory control functions, account monitoring / surveillance, supervision, sales practices, and regulatory compliance highly desirable
Skills
Proficiency in supervisory oversight routines for broker-dealer and / or registered investment advisor practices.
Able to navigate a fast-paced environment of swift regulatory change.
Demonstrated ability to deliver subject matter expertise & service with speed and precision.
Risk based approach to creative problem solving.
Highly motivated achiever
Comfortable as team player as well as individual independent contributor
Compensation Range The anticipated base salary range for this role is $150,000 to $175,000. 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.
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Position The Regional Business Director is responsible for overseeing business supervision, leadership support, and strategic execution for assigned advisory teams. This role partners closely with Private Advisors and senior leadership to ensure effective team management, supervisory discipline, and alignment with firm standards and objectives.
Responsibilities
Provide leadership and oversight for advisory teams within the Northern Hub
Serve as a primary point of escalation and support for business and supervision matters
Guide team structure, coverage, and day-to-day business execution across the region
Partner closely with Private Advisors and Managing Directors to support client service delivery and team effectiveness
Act as a liaison between advisory teams and internal partners across Human Capital, Supervision, Compliance, and Operations (where applicable)
Support advisor led initiatives, events, and client communications requiring regional approval or coordination
Ensure regional teams operate within firm guidelines and governance standards
Provide oversight on supervisory requests, approvals, and exception management
Support continuity planning and business transitions as needed
Qualifications
Ideal candidates will have a combination of the following FINRA registrations (e.g., Series 7, 9, 10, 24, 63, 65, 66).
7+ years in the securities industry; experience in supervisory control functions, account monitoring / surveillance, supervision, sales practices, and regulatory compliance highly desirable
Skills
Proficiency in supervisory oversight routines for broker-dealer and / or registered investment advisor practices.
Able to navigate a fast-paced environment of swift regulatory change.
Demonstrated ability to deliver subject matter expertise & service with speed and precision.
Risk based approach to creative problem solving.
Highly motivated achiever
Comfortable as team player as well as individual independent contributor
Compensation Range The anticipated base salary range for this role is $150,000 to $175,000. 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.
#J-18808-Ljbffr