Chief Compliance Officer

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.ResponsibilitiesManage and enhance the firm's compliance policies and proceduresPrepare and submit regulatory filings and disclosure documentsMaintain required books and recordsContinue relationships with compliance consultantsPossess a thorough understanding of evolving regulatory frameworkAssess and mitigate riskDevelop strategic vision for compliance and firmProvide education, training, and support to staff on regulatory compliance and other legal mattersContribute to leadership of firmQualificationsA strong fluency related to the Investment Advisor's Act of 1940.Experience managing regulatory examsAct 40 Fund compliance experienceBA/BS degreeLegal background a positiveExcellent organization and communication skillsAnalytical and problem-solving skillsAn ability to multi-task and pay attention to detailsStrong proficiency in Microsoft OfficeThis is an in-office position at our Harmony, PA location and includes a competitive salary with benefits.

Created: 2024-11-09