Regional Business Director
About The Position
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. 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.
Requirements
- 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
- Proficiency in supervisory oversight routines for broker-dealer and / or registered investment advisor practices.
- Able to navigate a fast-passed 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
Responsibilities
- Provide leadership and oversight for advisory teams within the Western Hub
- Serve as a primary point of escalation and support for business and supervision matters
- Guide team structure, coverage, and daytoday 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 advisorled 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
Benefits
- 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.
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What This Job Offers
Job Type
Full-time
Career Level
Director
Education Level
No Education Listed
