Compliance Analyst

About the role

One Day In July is a rapidly growing investment firm headquartered in Burlington, Vermont. As a Compliance Analyst, you will help the firm meet its compliance obligations under the Investment Advisers Act of 1940 and related rules. This is an entry-level role with on-the-job training; prior financial services experience is not required.

Responsibilities

• Review new client and account materials to ensure proper documentation and facilitate smooth onboarding.
• Perform annual reviews of client accounts to confirm advisors are meeting fiduciary duties and that documentation supports compliance.
• Update client records and organize communications.
• Identify anomalies or errors and take corrective action as needed.
• Conduct compliance tests to verify adherence to firm Policies and Procedures and to ensure policies remain current and effective.
• Assist in reviewing marketing materials.
• Maintain the firm’s recordkeeping system.
• Answer advisor questions and help develop training materials.
• Monitor changes to the regulatory environment for Registered Investment Advisers and assist with implementing new or revised rules.

Qualifications

• Maintain a high standard for attention to detail and documentation.
• Possess excellent written and verbal communication skills.
• Demonstrate strong organizational ability and proactive problem-solving.
• Have excellent computer skills: Excel, Word, Gmail, and web browsers.
• Focus on processes, controls, and risk assessment.
• Show a positive attitude, resilience, and strong prioritization skills.
• Commit to maintaining confidentiality and ethical standards.

Benefits

• 401k plan with low-cost index funds and the One Day In July strategy embedded; no high-fee funds.
• 401k match after meeting eligibility requirements.
• Company-provided Mac laptop with fast processor and retina display, sit-stand desk, ample workspace, and private areas.
• Paid vacation (weeks commensurate with experience) with a required disconnect policy during time off.
• Health care plan.
• Desk plant (sometimes alive).

Pay

$60,000 – $70,000 commensurate with experience.

Schedule

Full-time, primarily in-person in Burlington, Vermont.