Compliance Analyst; Burlington, VT

Job : CA401
Location: Burlington, Vermont
Status: Full time

Headquartered in Burlington, Vermont, One Day In July is a rapidly growing investment firm committed to distrusting the financial industry with a focus on reducing fees and improving portfolio performance for investors.

One Day In July provides investment management and fiduciary financial advice, generally focused on index funds, to clients in Vermont and across the United States. Our growth has been rapid , and we are expanding our compliance team to help ensure the firm can continue to meet its high standards for excellent client service while remaining in compliance with all applicable regulations.

We are fiduciaries on all client accounts.

to read about our firm's culture and priorities.

As a Compliance Analyst at One Day In July, you will be responsible for helping the firm meet its compliance obligations under the Investment Advisers Act of 1940 and the various rules adopted under that statute. The ideal candidate should be an excellent communicator, detail-oriented, and possess strong organizational skills.

This is an entry-level job in the financial services industry. You do not need prior industry experience, though you should demonstrate why you are exceptional in your application. We will provide on-the-job training.

• Review materials related to new clients and accounts to ensure proper documentation and help facilitate a smooth onboarding process.
• Perform annual reviews of client accounts to help ensure that advisors are meeting their fiduciary duties and that there is sufficient documentation to demonstrate as such.
• Coordinate with clients to complete various paperwork and other tasks.
• Update client records and organize communications.
• Identify various anomalies or errors and take corrective action as needed.
• Coordinate communications and workflows with Advisors and others in the firm.
• Organize a great deal of paperwork and digital files.
• Conduct various compliance tests to determine whether advisors and other employees are adhering to our formal Policies and Procedures and to ensure the policies remain up to date and effective.
• Assist in reviewing marketing materials.
• Collect and review various compliance reporting.
• Help maintain the firm’s recordkeeping system.
• Answer questions from advisors and assist in the development of various training materials for advisors and other staff.
• Stay informed about changes to the regulatory environment for Registered Investment Advisers and help the firm implement new/revised rules and requirements.

• Maintain a high standard for attention to detail and documentation.
• Possess excellent communication skills, both written and verbal.
• Have excellent organizational skills.
• Be proactive: identify opportunities and problems and take them to the next level without being asked.
• Focus on processes and controls with the ability to understand and assess risk.
• Possess a positive attitude, tremendous grit, and ability to prioritize.
• Have a commitment to maintaining confidentiality and ethical standards.
• Share our firm's mission and investment philosophy of lowering fees and espousing the value of diversified, low-cost index funds.

• Feel great about offering an honest, transparent solution to Vermonters and Americans trying to save for retirement. One Day In July is a fiduciary: we are legally and ethically obligated to act in our clients’ best interest. (Only 12% of people registered with the securities industry are registered in a way that requires them to be fiduciaries on all accounts. 1 )
• Win on price: our prices tend to be lower than many of our competitors' prices. It is fun to be in a firm that is winning and taking market share. 2
• You will be exposed to many different aspects of an investment advisory firm. In addition to reviewing the work the advisors and investment desk are doing for clients, you will also be involved in marketing, software development, and various operational aspects of the firm.
• Build a solid foundation for understanding the complex realm of regulatory requirements and compliance best practices…