Investment Services Administrator

United Group•City of Troy, NY

2d•$31 - $35•Onsite

About The Position

The Investment Services Administrator supports MCM Securities, LLC, an affiliated FINRA-registered broker-dealer, from United Group’s corporate office in Troy, New York. This full-time, non-exempt role provides administrative and operational support across investor documentation, private placement transactions, compliance and anti-money-laundering processes, communications, and office operations. The administrator maintains investor files and offering records; prepares and tracks subscription documentation; supports recordkeeping and regulatory examinations; coordinates transaction and funding workflows; and helps maintain compliance calendars, investor identification files, screening records, and advertising approvals. The role also maintains CRM and database records, schedules meetings, coordinates routine communications, tracks invoices and commission documentation, and assists the FINOP with financial and operational records. The listed duties are indicative and are not all-inclusive.

Requirements

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.
Professional image compatible with United Group/MCM Securities; positive attitude, energy, and assertiveness.
Exceptional personal and professional integrity and a strong work ethic.
Excellent verbal and written communication skills.
Strong organizational, time-management, and prioritization abilities.
Commitment to accuracy, attention to detail, and confidentiality of sensitive information.
Ability to sit for long periods of time.

Nice To Haves

Bachelor's degree in Finance, Economics, Accounting, or a related field.
Experience within financial services or a registered broker-dealer environment.
Familiarity with SEC recordkeeping requirements and FINRA compliance procedures.
Demonstrated experience supporting AML documentation, investor onboarding, and regulatory examinations.

Responsibilities

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 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.
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.
Assist the CCO with compliance calendars, training records, annual compliance meeting attendance, and required attestations.
Track outside business activity documentation and other compliance forms.
Collect required investor identification documents and help confirm Customer Identification Program file completeness.
Maintain applicable OFAC screening records and escalate 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.
Help ensure 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.
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.

Benefits

Medical insurance with three plans and HSA options; eligibility begins the first of the month following 30 days.
Dental and vision insurance; eligibility begins the first of the month following 30 days.
Company-paid basic life insurance equal to one times annual salary, with additional voluntary life plans; eligibility begins the first of the month following 30 days.
401(k) retirement plan, with employee contribution eligibility beginning the first of the month following 90 days and employer matching eligibility after one year of service, up to a 4% company match.
Employee Assistance Program.
24/7 United Concierge Medicine telemedicine service, including mental health services.
Calm App premium subscription.
Learning Care Group childcare tuition discount.
Dependent Care FSA.
Tuition Assistance Program.
Personal, sick, and vacation time, with eligibility after the 90-day introductory period; vacation accrual can increase with years of service.
10 company-paid holidays.