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. 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.