Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

Tailor your resume to this Investment Services Administrator role.

Rezi rewrites your resume against United Group's job description. Free.

Resume score gauge reading 58 out of 100

Don't guess if your resume is good enough.

See how it scores against the Investment Services Administrator posting at United Group — free, in seconds.

About the Role

MCM Securities, LLC, an affiliated FINRA-register broker-dealer with United Group, seeks a full-time Investment Services Administrator for its Corporate office in Troy, NY. This role supports documentation, recordkeeping, private placement, compliance, AML, communications, marketing, and operations.

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 (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 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.

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, 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.
Consistent commitment to accuracy, attention to detail, and maintaining the confidentiality of sensitive information.

Skills

Microsoft Excel
Microsoft Office applications
CRM systems
Electronic document management
SEC recordkeeping requirements
FINRA compliance procedures
AML documentation
Investor onboarding
Regulatory examinations

Location

Troy, NY

Work Type

Full-Time
Onsite

Experience Level

2-5 years

Education Level

Bachelor's degree in Finance, Economics, Accounting or related field

Salary/Compensations

$31.25 - $34.62 per hour

Benefits

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.
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.
10 Company Paid Holidays.

About the Company

The United Group of Companies, Inc. has over 50 years in business as a full-service, vertically integrated leader in real estate development and management.
Mission: to develop, build, and acquire vibrant communities where residents, investors, partners, and commercial clients feel welcome, connected, and fulfilled.
Commitment to innovation and award-winning lifestyle programs.
Voted by employees as one of the Albany Time Union’s Top Workplaces for ten consecutive years.
Nationally recognized as a Top Workplaces USA employer for six years running.
Earned the 2025 Top Real Estate Workplace distinction.
Management company, United Plus Property Management (UPPM), earned the Accredited Management Organization (AMO®) of the Year Award for 2024.

Equal Opportunity

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.