Enterprise Risk Management - Rockefeller Capital Management : Job Details

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 30 markets throughout the United States, as well as an office in London. The Firm oversees $151 billion in client assets as of December 31, 2024.

We are seeking an experienced Enterprise Risk professional to be the delegate for the Head of Risk Management in overseeing the day-to-day execution of the enterprise risk management framework across all Rockefeller Capital Management businesses which include the broker dealer, RIA, asset management, trust company, and investment banking. This is a highly visible role interacting with senior management teams across the Firm.Reporting to the Head of Risk Management, this individual will be responsible for leading and continuously enhancing the enterprise risk management framework across all risk stripes (financial and non-financial risks) to ensure its effectiveness, partnering with 1st line risk/business management, infrastructure, and control functions including internal audit to collectively perform risk management activities. The risk management framework consists of the Risk Appetite Statement, Key Risk Indicators, Controls Testing, Incident/Loss Management, Issues Management, Governance, Emerging Risks and Risk Assessments.

• Manage the risk appetite statement including setting appropriate risk tolerances.
• Scope and execute the enterprise risk and control self-assessments (RCSA).
• Develop comprehensive risk management policies and framework.
• Provide risk dashboard reporting to the executive team to inform risk exposure.
• Maintain the incidents database and underlying risk taxonomy.
• Perform incident reviews to identify root cause and recommend practical solutions.
• Oversee firm-wide control enhancement activities.
• Prepare committee presentations and related materials.
• Conduct targeted controls testing to validate control effectiveness.
• Gatekeeper of the GRC system.
• Manage working groups and special projects.

• Bachelor's or Master's degree in Business, Finance, Accounting, or related field.
• 6+ years of experience including 2+ years in a leadership role in risk management, audit, or consulting.
• Deep knowledge of the ERM framework and hands-on experience.
• Knowledge of operational, market, credit, counterparty risk principles and mitigation strategies.
• 3+ years of experience working in wealth management, private banking, or asset management industry.
• Investment product knowledge for HNW and UHNW clients including alternatives/complex products & related strategies.
• Knowledge of GRC system.
• Familiarity with regulatory framework specifically FINRA, SEC, and OCC.

• Ability to think strategically, anticipate changes to the Firm's risk management framework.
• Proven experience in risk identification, assessment, and mitigation.
• Ability to design effective and efficient risk management processes and policies.
• Create effective PowerPoint presentations and reports for board-level committees.
• Ability to collaborate and drive change within the organization.
• Strong analytical and problem-solving skills. Comfortable working with datasets.
• Thrive in a fast-paced, constantly changing environment.
• Strong communication and interpersonal skills. Highly visible role engaging senior management of the Firm.
• Inquisitive mindset with ability to innovate.
• Lead large meetings/working group discussions.

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.