Chief Compliance Officer
: Job Details :

Rodgers Brothers Inc d/b/a Monongahela Capital Management (MCM) is an investment advisory firm registered with the Securities and Exchange Commission (SEC) seeking a Chief Compliance Officer.

MCM is the advisory division of Rodgers Brothers, Inc. and is headquartered just north of Pittsburgh in Harmony, PA with nearly $1b of AUM.

For over 39 years we have been providing investment services to our clients, and this position is a unique opportunity to be a part of the executive team in a growing business with a long-term focus.

While RIA compliance or SEC law experience is preferred, the firm is willing to develop a bright, self-starting, and resourceful individual into the role.

Responsibilities

• Manage and enhance the firms compliance policies and procedures
• Prepare and submit regulatory filings and disclosure documents
• Maintain required books and records
• Continue relationships with compliance consultants
• Possess a thorough understanding of evolving regulatory framework
• Assess and mitigate risk
• Develop strategic vision for compliance and firm
• Provide education, training, and support to staff on regulatory compliance and other legal matters
• Contribute to leadership of firm

Qualifications

• A strong fluency related to the Investment Advisor's Act of 1940.
• Experience managing regulatory exams
• Act 40 Fund compliance experience
• BA/BS degree
• Legal background a positive
• Excellent organization and communication skills
• Analytical and problem-solving skills
• An ability to multi-task and pay attention to details
• Strong proficiency in Microsoft Office

This is an in-office position at our Harmony, PA location and includes a competitive salary with benefits.