Compliance Champion - Docs, CRM & Process Leader

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

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.