Compliance Associate

Financial Services of America; Troy (MI); On-site; USD 50,000 - 75,000; Full time

Benefits offered by this job

Health insurance

401(k) plan

Leadership access

Training & development

Competitive salary

Job summary

Financial Services of America in Troy, MI is seeking a Compliance Associate to join our on-site compliance team. This role focuses on ensuring regulatory documentation and internal processes are followed, while collaborating with leadership to support client-focused operations.

Join a team that values accuracy, accountability, and ongoing development; you will help maintain a professional environment and contribute to process improvements each day.

Qualifications

• Experience in financial services and compliance is preferred.
• Series 65/66 certification or willingness to obtain quickly.
• Excellent organizational and multitasking abilities.
• Strong interpersonal and communication skills.
• Proficiency with Microsoft Office and CRM systems.
• Ability to lead and inspire a team.
• Proactive problem-solving and process improvement mindset.

Responsibilities

• Manage office workflows to support team efficiency.
• Prepare and maintain client and team documents with accuracy and confidentiality.
• Maintain and update CRM systems with accurate records.
• Serve as the point of contact for vendors, clients, and team members.
• Support financial advisors by organizing internal documentation.
• Collaborate with leadership to identify and implement process improvements.
• Foster a welcoming, professional environment for clients and staff.

Skills

Financial services experience

Compliance

Microsoft Office

CRM systems

Communication skills

Leadership ability

Problem-solving

Education

Bachelor's degree in finance or related field

Series 65/66 certification (desired)

Tools

CRM systems

Microsoft Office

Job description

Description

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

Full Time

Troy - On-Site

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:

We are guided by principles that define our approach to client and team success:

• 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.