Investment Services Administrator

United Payroll • Troy, NY

1d • Onsite

About The Position

The United Group of Companies, Inc. is hiring a full-time, non-exempt Investment Services Administrator for MCM Securities, LLC, an affiliated FINRA-registered broker-dealer. The position is based at the company’s corporate office in Troy, New York, and works Monday through Friday, 8:00 a.m. to 5:00 p.m. The role provides administrative, operational, investor-onboarding, transaction, and compliance support.

The administrator maintains investor and offering records, prepares and tracks subscription documentation, supports private-placement transactions, and coordinates with escrow agents, fund administrators, and other service providers. The position also assists the Chief Compliance Officer with compliance calendars, AML and CIP documentation, recordkeeping, communications and marketing controls, and preparation for audits and regulatory examinations. Additional duties include CRM and database maintenance, scheduling, invoice and commission documentation, and gathering records for the FINOP.

The stated hourly pay range is $31.25 to $34.62. The role requires the ability to sit for long periods. A bachelor’s degree in Finance, Economics, Accounting, or a related field is preferred.

Requirements

• Two to five 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, 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.

Nice To Haves

• Bachelor’s degree in Finance, Economics, Accounting, or a related field.
• Experience in financial services or a registered broker-dealer environment.
• Familiarity with SEC recordkeeping requirements and FINRA compliance procedures.
• 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 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.
• 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 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 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.
• 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 plan options and HSA options.
• Dental insurance.
• Vision insurance.
• Company-paid basic life insurance equal to one times annual salary, with additional voluntary life plans.
• 401(k) retirement plan with employer match eligibility after one year of service, up to a 4% company match.
• Employee Assistance Program.
• 24/7 telemedicine service, including mental health services.
• Premium Calm App subscription.
• Childcare tuition discount through Learning Care Group.
• Dependent Care FSA.
• Tuition Assistance Program.
• Personal time off: 24 hours.
• Sick time: 56 hours.
• Vacation time: 80 hours, increasing with years of service up to 160 hours.
• Ten company-paid holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed