Regional Supervision Manager

Rockefeller Capital Management • Carmel, IN

2d

About The Position

The Regional Supervision Manager participates in business supervision, support, and strategic execution for assigned advisory teams. The role partners closely with Private Advisors and senior leadership to ensure effective team management, supervisory discipline, and alignment with firm standards and objectives. The manager oversees advisory teams within the Northern Hub, supports business and supervision matters, helps guide regional team structure and day-to-day execution, and coordinates with internal partners and advisory teams.

Requirements

• 7–10+ years in the securities industry.
• Proficiency in supervisory oversight routines for broker-dealer and/or registered investment advisor practices.
• Ability to navigate a fast-paced environment of swift regulatory change.
• Demonstrated ability to deliver subject matter expertise and service with speed and precision.
• Risk-based approach to creative problem solving.
• Highly motivated achiever.
• Comfortable working as both a team player and an independent contributor.

Nice To Haves

• Experience in supervisory control functions, account monitoring or surveillance, supervision, sales practices, and regulatory compliance is highly desirable.
• A combination of FINRA registrations such as Series 7, 9, 10, 63, 65, or 66.

Responsibilities

• Manage oversight for advisory teams within the Northern Hub.
• Manage escalation and support for business and supervision matters.
• Guide team structure, coverage, and day-to-day business execution across the region.
• Partner 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.
• Support continuity planning and business transitions as needed.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: No Education Listed