Compliance Associate
Full Time
Troy – On-Site
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.
Financial Services of America (also known as FSA) is one of the largest independent financial planning and insurance firms in Michigan.
Unlike most traditional insurance agencies and brokerage firms that generally have a limited array of products and services to offer, FSA capitalizes on its independent status to offer an unbiased, educational approach to provide strategies for consumers financial concerns.
In additional to providing a full line-up of insurance and investment products, FSA also provides access to CPA's, estate planning attorneys, mortgage professionals and home and auto insurance professionals at steep discounted rates to truly create a unique, one-stop shopping experience.
Insurance products are offered through the insurance business Financial Services of America (FSA). Financial Services of American (FSA) is also a Financial Services practice that offers securities products and services through AE Financial Services, LLC (AEFS), member FINRA/SIPC. Financial Services of America (FSA) is also an Investment Advisory practice that offers investment advisory products and services through FSA Advisors (FSAA), a Registered Investment Advisor. AEFS and FSAA do not offer insurance products. The insurance products offered by Financial Services of America (FSA) are not subject to regulatory requirements and standards of care applicable to registered representatives and are not subject to investment advisory requirements. AEFS, FSAA and FSA are not affiliated companies.
Financial Services of America (FSA) advisors may refer you to local CPAs for tax services (including our business partnership with FSA Tax & Accounting) and attorneys for estate planning services (including our strategic partnership with Benjamin T. Vader, PLLC), if needed, to coordinate and collaborate with you and your advisor on your holistic financial plan (with proper, written authorization). 2748667- 4/23.
