Central Compliance

 

Main characteristics

Location

Dallas, Texas

Company

Rockefeller Capital Management

Job summary

About Rockefeller Capital Management:
Rockefeller Capital Management is a leading independent financial advisory firm providing wealth management, asset management, and strategic advisory services to ultra- and high-net-worth individuals, families, businesses, and institutions. Led by President & CEO Gregory J. Fleming, the firm offers an elevated experience based on traditional Rockefeller global family office values of excellence and service.

Formed in 2018 following the acquisition of Rockefeller & Co., Inc., the firm is rapidly extending its historic brand into contemporary markets. Based in New York City, it has over forty offices in the United States and London and oversees some $112 billion in client assets.

Position:
As a member of the Central Compliance team, this individual will be responsible for a wide range of tasks, including, working with the Code of Ethics team and Compliance officers on special projects, maintaining policy pipelines, and updating key metrics across the firms Central Compliance function.

Responsibilities:
Work with the Code of Ethics Team and Business Line Chief Compliance Officers to develop a centralized training needs analysis and corresponding training plan.

Administer New Hire and Firm Required training on Compliance systems, track, report on results, and interface with Firm contacts to drive completion.

Maintain the policy pipeline and perform final consistency checks before posting to an internal Policy Management Portal and/or disseminating.

Maintain version control over issued policies in a secured SharePoint site.

Revamp the Legal & Compliance resources page and update, as needed.

Coordinate Compliance communications through various mediums and maintain a department schedule for issuance.

Determine and illustrate key quarterly metrics and reporting.

Research and identify new tools, programs, and applications for rapid development of micro-Compliance training modules.

Develop and manage completion of Compliance training attestations and certifications using Compliance systems.

Assist with the on-boarding of New-Hire, including tracking new-hire tasks until completion.

Oversee shared inbox and respond to general questions as needed.

Quarterly tracking of Personal Accounts that are in the process of transferring to RCM.

Update the Compliance New Hire Onboarding Guide, as needed.

Managing ad hoc projects as needed.

Qualifications:
Bachelors degree is required

J.D. Degree preferred but not required

Minimum of 4 years of Compliance experience

Skills:
Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.

Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making.

Ability to prioritize in a fast paced, high pressure, constantly evolving environment with high urgency and ownership

Comfortable working with new technology, and eager to learn and optimize existing processes.

Excellent organizational skills and ability to handle multiple projects at one time.

The ideal candidate will have MS Office experience.

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.