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 firm’s 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.