Chief Compliance Officer

2 months ago

Harmony, United States Rodgers Brothers, Inc. Full time

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.

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