Head of Operations

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 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.

Position

The Head of Operations is responsible for the oversight and management of operational infrastructure of Rockefeller Asset Management. This includes middle- and back-office functions, trade settlements, portfolio administration, regulatory compliance support, technology integrations, and process optimization to ensure efficiency, accuracy, and risk mitigation. The Operations team supports traders, portfolio managers, compliance, sales, and client relationship professionals by overseeing and facilitating all operational and performance functions.

The Head of Operations is expected to consistently support colleagues and the wider business by leveraging their industry experience and professional maturity to proactively coach and lead team members and colleagues, provide subject matter expertise, question those situations that do not reconcile with their past experiences, craft innovative solutions to business challenges, chart a strategic direction, and exhibit an exemplary standard of client service.

Responsibilities

• Lead and manage all operational functions outsourced to SEI, including trade settlement, portfolio reconciliation, corporate actions, proxy voting, performance, and reporting
• Oversee the maintenance of trading platforms, Bloomberg AIM and InvestorTools Perform along with full DTCC TradeSuite (ALERT, CTM, TradeSuite)
• Subscription and redemption processing
• SMA/UMA account onboarding via Envestnet Platform
• Support client advisory team with institutional client onboarding
• Partner with product management team to launch new vehicles, funds, SPVs
• Collaborate with custodians, fund administrators, prime brokers, and other service providers to ensure seamless operations
• Manage relationships with auditors, regulators, and third-party service providers
• Performance analytics and measurement
• Maintain oversight of all internal operations’ resources and functions
• Work closely with the Head of Operations for Rockefeller on both, tactical and strategic initiatives as they relate to Operations
• Drive automation and digitization initiatives to improve operational efficiencies
• Liaise with IT teams and external vendors for system upgrades and troubleshooting
• Devise and promote policies and procedures that ensure effective and efficient delivery of the Operations team’s and RAM’s services and products.
• Identify potential process and / or functional improvement areas, develop requirements and determine approach to implement changes
• Develop and leverage meaningful KPIs and KRIs that identify opportunities to improve processes and reduce risks
• Serve as the designated point of quality review and escalation
• Ensure business continuity planning (BCP) and disaster recovery measures are in place
  
  
  

Qualifications

• Bachelor’s degree in Finance, Business, Accounting or related field.
• 10+ years of investment/asset management operations and leadership experience gained, ideally, in a medium to small sized firms and across a broad spectrum of operational functions
• Expert-level knowledge and experience with transactions-based workflows, securities processing and trade settlements of both domestic and global debt, equity, derivative, alternative and currency transactions
• Deep knowledge of the technical and investment characteristics of investment securities and their markets
• Comprehensive understanding of the Financial Services regulatory framework and ethics, including the ability to apply relevant rules and principals to assure compliance and well controlled processes and procedures
• Experience pioneering and leading multiple and concurrent initiatives, projects, and transformational efforts.
• Experienced with a variety of industry leading technologies but experience with Charles River and / or Advent Geneva a plus
  
  
  

Skills

• Highly developed critical thinking and analytical skills with the ability to absorb a large amount of information (financial and non-financial), summarizing key issues, trends, implications, and risks
• A proven track record across all aspects of operational planning
• Strategic thinker, passionate about identifying opportunities and driving change
• Intellectually curious, global perspective, high energy, driven, ambitious, commercial; Wants to win and works well in fast-paced environment
• Adaptable, comfortable in ambiguity. Knows how to solve problems, communicate ideas, drive agendas, and build consensus
• Creative problem-solving skills and entrepreneurial mindset with ability to manage small teams with limited resources
  
  
  

Compensation Range

The anticipated base salary range for this role is $225,000 to $240,000. 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. Visit careers.rockco.com to learn more about additional opportunities and benefits offerings.

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.