Compliance Associate

Financial Services of America; City of Troy (NY); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Competitive compensation

Health care coverage

401(k) retirement plan

Positive, team-oriented culture

Direct access to leadership

Daily training and development

Job summary

Financial Services of America is seeking a Compliance Associate in Troy, on-site, to join our compliance team and ensure processes meet regulatory requirements while maintaining meticulous documentation.

You will organize workflows, manage client and team documents, maintain CRM records, support financial advisors, and partner with leadership to identify process improvements, fostering a professional, client-focused environment.

Qualifications

• Experience in financial services and compliance roles.
• Strong organizational and multitasking abilities.
• Excellent interpersonal and communication skills.
• Proficiency with CRM systems and MS Office tools.
• Willingness to obtain Series 65/66 licenses if not already held.

Responsibilities

• Manage office workflows, ensuring seamless operations and supporting team efficiency.
• Prepare and maintain essential client and team documents, ensuring accuracy and confidentiality.
• Maintain and update CRM systems, ensuring accurate client and operational records.
• Act as the point of contact for vendors, clients, and team members to resolve issues promptly.
• Support financial advisors by organizing internal documentation.
• Collaborate with leadership to identify and implement process improvements.
• Foster a welcoming, professional environment for both clients and team members.

Skills

Compliance experience

Leadership

Communication

CRM systems

MS Office

Education

Series 65/66 licenses

Tools

CRM systems

Microsoft Office Suite

Job description

Compliance Associate

Full Time

Troy – On-Site

Description

Join the Financial Services of America Team as a Compliance Associate!

Why Work with Us?

• Competitive Compensation: Enjoy a stable income with competitive base pay.
• Health Care Coverage: Financial Services of America calls about your well-being; we offer group health care coverage to support your health and family needs.
• 401(k) Retirement Plan: Secure your future with our company-sponsored retirement savings plan.
• Positive, Team-Oriented Culture: Join a collaborative environment that values your contributions and encourages personal and professional growth.
• Direct Access to Leadership: Work closely with company leadership, ensuring guidance, mentorship, and clear communication of goals.
• Daily Training and Development: Refine your skills with regular coaching and learning opportunities tailored to your role.

About the Role:

As a Compliance Associate, you’ll work with our compliance team to ensure internal processes are followed and regulatory documentation requirements are met. This position combines leadership, organization, and client interaction to help maintain a positive and professional environment.

Your Key Responsibilities:

• Manage office workflows, ensuring seamless operations and supporting team efficiency.
• Prepare and maintain essential client and team documents, ensuring accuracy and confidentiality.
• Maintain and update CRM systems, ensuring accurate client and operational records.
• Act as the point of contact for vendors, clients, and team members to resolve issues promptly.
• Support financial advisors by organizing internal documentation.
• Collaborate with leadership to identify and implement process improvements.
• Foster a welcoming, professional environment for both clients and team members.

What We’re Looking For:

• Proven experience in financial services and compliance roles (preferred but not required).
• Relevant certifications or licenses (Series 65/66) or a willingness to obtain them promptly.
• Exceptional organizational and multitasking abilities with attention to detail.
• Strong interpersonal and communication skills with a professional demeanor.
• Proficiency in Microsoft Office Suite and CRM systems.
• Self-motivated with the ability to lead and inspire a team.
• A proactive approach to problem-solving and process improvement.

Our Core Values:

• World Class: Delivering extraordinary service and exceeding client expectations.
• Dedicated: Supporting your goals, career, and family.
• One Team, One Goal: Working together for the success of our clients and the company.
• Driven: Committed to continuous improvement and initiative.
• Great Attitude: Loving what you do and embracing growth and change.

Why This Role Matters:

As a Compliance Associate, you are the backbone of our compliance department, ensuring processes are followed to meet regulatory requirements. Your leadership and organizational skills will directly contribute to the success of our company and the satisfaction of our clients.

Ready to Lead and Inspire?

If you’re detail-oriented, team-focused, and eager to make a difference in a dynamic environment, together, we’ll continue to build a legacy of excellence and help clients achieve their financial goals.