Compliance Associate

Compliance Associate

Pay: $52,000/year - if licensed
$48,000/year - non licensed but must obtain within 45 days of start date

Full Time

Troy – On-Site

Description

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

Are you looking for a dynamic role where your organizational skills and leadership make a real impact? At Financial Services of America, we’ve been recognized as a Top Workplace for 13 consecutive years, thanks to our commitment to fostering a supportive and rewarding environment for our team members.

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.

Ready to Lead and Inspire?

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