Compliance Analyst
Rockefeller Capital Management, New York, 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 $203 billion in client assets as of March 31, 2026.
Position
The Compliance Analyst will support the Rockefeller Global Investment 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
Contribute to the development and execution of the annual Compliance testing plan
Maintain comprehensive and well-organized testing documentation in accordance with Firm standards
Prepare clear, concise reports summarizing testing results, key risks identified, and recommended remediation actions
Support the development, documentation, and tracking of corrective action plans for issues identified through compliance testing
Partner with Technology teams to support process enhancements and the automation of compliance monitoring and surveillance activities
Assist with the preparation and distribution of monthly compliance reports and key risk metrics
Support regulatory filings activities, including Form ADV, Form PF, and Schedules 13D/G, 13F and 13H
Provide ongoing support to the Portfolio Compliance team, including assistance with due diligence questionnaires (DDQs), compliance certifications, and other ad hoc compliance initiatives
Qualifications
Bachelor’s degree required
1-2 years of relevant experience in compliance, internal audit, risk management, or a consulting environment
Prior experience supporting compliance testing, internal audit or advisory work
Demonstrated compliance, supervision or legal experience at a broker-dealer or registered investment advisor required; knowledge of complex products is a plus
Solid understanding of the securities industry, from a regulatory, compliance, operations and corporate governance perspective
Working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
Experience with compliance or order management systems such as Bloomberg AIM or Investortools Perform is a plus
Skills
Strong written and verbal communication skills with the ability to clearly articulate issues, influence outcomes and translate complex regulatory or technical concepts into actionable recommendations
Analytical and problem-solving skills, including the ability to identify issues, ask appropriate questions, and elevate matters as needed in a professional, assertive and proactive manner
Proven ability to work collaboratively in a cross-functional environment and develop effective working relation across all organizational levels
Highly motivated self-starter with the ability to work independently, prioritize competing deadlines, and adapt to a fast paced, evolving regulatory environment
Strong organizational and time management skills, with the ability to manage multiple projects concurrently
Willingness and ability to perform both analytical assignments and routine operational tasks with minimal supervision
Proficiency in Microsoft’s software ecosystem including Outlook, Word, Excel, PowerPoint and Copilot
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.
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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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 $203 billion in client assets as of March 31, 2026.
Position
The Compliance Analyst will support the Rockefeller Global Investment 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
Contribute to the development and execution of the annual Compliance testing plan
Maintain comprehensive and well-organized testing documentation in accordance with Firm standards
Prepare clear, concise reports summarizing testing results, key risks identified, and recommended remediation actions
Support the development, documentation, and tracking of corrective action plans for issues identified through compliance testing
Partner with Technology teams to support process enhancements and the automation of compliance monitoring and surveillance activities
Assist with the preparation and distribution of monthly compliance reports and key risk metrics
Support regulatory filings activities, including Form ADV, Form PF, and Schedules 13D/G, 13F and 13H
Provide ongoing support to the Portfolio Compliance team, including assistance with due diligence questionnaires (DDQs), compliance certifications, and other ad hoc compliance initiatives
Qualifications
Bachelor’s degree required
1-2 years of relevant experience in compliance, internal audit, risk management, or a consulting environment
Prior experience supporting compliance testing, internal audit or advisory work
Demonstrated compliance, supervision or legal experience at a broker-dealer or registered investment advisor required; knowledge of complex products is a plus
Solid understanding of the securities industry, from a regulatory, compliance, operations and corporate governance perspective
Working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
Experience with compliance or order management systems such as Bloomberg AIM or Investortools Perform is a plus
Skills
Strong written and verbal communication skills with the ability to clearly articulate issues, influence outcomes and translate complex regulatory or technical concepts into actionable recommendations
Analytical and problem-solving skills, including the ability to identify issues, ask appropriate questions, and elevate matters as needed in a professional, assertive and proactive manner
Proven ability to work collaboratively in a cross-functional environment and develop effective working relation across all organizational levels
Highly motivated self-starter with the ability to work independently, prioritize competing deadlines, and adapt to a fast paced, evolving regulatory environment
Strong organizational and time management skills, with the ability to manage multiple projects concurrently
Willingness and ability to perform both analytical assignments and routine operational tasks with minimal supervision
Proficiency in Microsoft’s software ecosystem including Outlook, Word, Excel, PowerPoint and Copilot
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.
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