Investment Services Administrator

United Group; City of Troy (NY); On-site; USD 43,000 - 48,000; Full time

Job summary

The United Group in Troy, NY seeks an Investment Services Administrator to join MCM Securities, LLC, an affiliated FINRA broker-dealer. This full-time role focuses on documentation, recordkeeping, AML/compliance support, and transactional assistance.

You will manage investor files, coordinate with escrow and fund administrators, and maintain CRM data. A Bachelor's in Finance/Economics/Accounting plus strong Excel/CRM skills are required.

Qualifications

• 2–5 years of administrative, operations, and/or office support experience.
• Advanced proficiency in Microsoft Excel and other Office applications.
• Familiarity with CRM systems and electronic document management.
• Bachelor's degree in Finance, Economics, Accounting, or related field.

Responsibilities

• Maintain organized investor files and offering records, both electronic and physical.
• Prepare, organize, and track subscription agreements and related docs.
• Archive communications and ensure document version control for audits.
• Support SEC and FINRA recordkeeping requirements and regulatory examinations.
• Coordinate with escrow agents, fund administrators, and service providers.
• Track funding confirmations and update deal pipeline reports.
• Maintain CRM records, schedule meetings, and process vendor invoices.

Skills

Administrative experience

Microsoft Excel

CRM systems familiarity

Education

Bachelor's degree in Finance, Economics, Accounting

Tools

Microsoft Office

CRM systems

Document management

Job description

The United Group of Companies, Inc. – celebrating over 50 Years in business - is a full-service, vertically integrated leader in real estate development and management with over 50 years of industry expertise. Our mission is to develop, build, and acquire vibrant communities where our residents, investors, partners, and commercial clients feel welcome, connected, and fulfilled. Our commitment to innovation sets us apart and is evident in our award-winning lifestyle programs. We firmly believe that where you live, and work, should be an experience that enriches and improves your life. United Group provides a place to call home and a space where businesses thrive in all the communities we join.

We are honored to have been voted by our employees as one of the Albany Time Union’s Top Workplaces for tenconsecutive years and nationally recognized as a Top Workplaces USA employer for sixyears running – most recently earning the 2025 Top Real Estate Workplace distinction. We are also thrilled that our management company, United Plus Property Management (UPPM), has earned the Accredited Management Organization (AMO®) of the Year Award for 2024! To learn more about us, please visit our website: https://www.ugoc.com

Join Our Team!

We have an immediate need for a full – time InvestmentServices Administratorto join MCM Securities, LLC, an affiliated FINRA-register broker-dealer with United Group out of ourCorporate office located in Troy, NY.The responsibilities that are listed below are not all inclusive, however, they are indicative of the responsibilities performed by Investment Services Administrator:

Documentation & Recordkeeping

• Maintain organized electronic and physical investor files and offering records.
• Prepare, organize, and track subscription agreements and related documentation.
• Archive business communications and maintain document version control.
• Support compliance with applicable SEC books-and-records requirements, including Rules 17a-3 and 17a-4.
• Retrieve and organize records for internal reviews, audits, and FINRA or SEC examinations.

Private Placement & Transaction Support

• Prepare and distribute approved subscription packages.
• Track executed subscription agreements and outstanding documentation.
• Coordinate administrative matters with escrow agents, fund administrators, and other service providers.
• Monitor funding confirmations and maintain capital-raising tracking logs.
• Update deal pipeline reports and transaction status records.

Compliance & AML Support

• Assist the CCO with compliance calendars, training records, annual compliance meeting attendance, and required attestations.
• Track outside business activity (OBA) documentation and other compliance forms.
• Collect required investor identification documents and help confirm Customer Identification Program (CIP) file completeness.
• Maintain applicable OFAC screening records and elevate incomplete files or potential red flags to the designated compliance officer.
• Organize supervisory documentation and prepare files for regulatory examinations.
• Support the firm's AML procedures in accordance with applicable requirements, including FINRA Rule 3310.

Communications & Marketing Support

• Help ensure that only approved marketing and offering materials are distributed through authorized channels.
• Maintain advertising approval logs and track document versions.
• Support email archiving and communications recordkeeping requirements.

Operations & Office Administration

• Maintain accurate CRM records and internal databases.
• Schedule meetings, investor calls, and internal appointments.
• Coordinate routine administrative communications and workflow.
• Process and track vendor invoices and related documentation.
• Assist the FINOP with gathering financial and operational records.
• Maintain commission payment documentation and related administrative records.

Job Overview + Requirements:

• Job Type:Investment Services Administrator, Non - Exempt; $31.25 - $34.62 per hour
• Work Hours: Full – Time, Monday – Friday 8:00am – 5:00pm.
• Physical Requirements: ability to sit for long periods of time.
• Preferred Education: Bachelor's degree in Finance, Economics, Accounting or related field
• Required Experience: 2-5 years of administrative, operations, and/or office support experience. Advanced proficiency in Microsoft Excel and other Microsoft Office applications. Familiarity with CRM systems and electronic document management.
• Preferred Experience: Experience within financial services or a registered broker-dealer environment, with familiarity with SEC recordkeeping requirements and FINRA compliance procedures. Demonstrated experience supporting AML documentation, investor onboarding, and regulatory examinations.
• Qualities: Professional image compatible with United Group/MCM Securities – positive attitude, energetic, assertive. Demonstrates exceptional personal and professional integrity, a strong work ethic, and excellent verbal and written communication skills. Possesses outstanding organizational, time-management, and prioritization abilities, with a consistent commitment to accuracy, attention to detail, and maintaining the confidentiality of sensitive information.

Benefits + Time Off:

• Medical– Highmark BlueShield of Northeastern NY – 3 insurance plans with HSA options; eligibility 1st of the month following 30 days.
• Dental + Vision – eligibility 1st of the month following 30 days.
• Life Insurance – Company paid Basic Life Insurance Policy (1x Annual Salary) with additional Voluntary Life Plans; eligibility 1st of the month following 30 days.
• 401K Retirement Plan – Voya Financial; Employee Contribution Eligibility at 1st of the month following 90 days; eligible for Employer Match after 1 Year of Service; up to 4% Company Match.
• Additional Benefits– Employee Assistance Program; United Concierge Medicine (24/7 telemedicine service, including Mental Health); Calm App premium subscription; Learning Care Group (childcare tuition discount); Dependent Care FSA; Tuition Assistance Program.
• PTO– Personal (24 Hours), Sick (56 Hours), and Vacation Time (80 Hours; escalated based on years of service up to 160 Hours); eligibility after 90-day Introductory Period.
• Holidays– 10 Company Paid Holidays.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, disability status, or any other protected class covered by law.