Compliance Analyst

Job ID: CA401 Location: Burlington, Vermont Status: Full time Firm Summary Headquartered in Burlington, Vermont, One Day In July is a rapidly growing investment firm committed to disrupting 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. 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. In this role, you will: 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. Update client records and organize communications. Identify various anomalies or errors and take corrective action as needed. 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. 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. A strong candidate will: 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. What's in it for you? 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 applicable to Registered Investment Advisory firms. Join an established but rapidly growing firm. Enjoy a low-meeting culture. Be part of a friendly, hardworking team that prides itself on mutual respect for one another. Develop mastery of subject areas that help clients and other employees. Enjoy a beautiful office near the Burlington waterfront. $60,000 - $70,000 commensurate with experience. This job is full time. This job is primarily in-person in Burlington, Vermont. 401k plan with low-cost index funds and One Day In July strategy embedded. No high fee funds (this matters greatly, as you’ll learn if you work here)! Available after meeting eligibility requirements. 401k match. Available after meeting eligibility requirements. An excellent Mac laptop with a fast processor and retina screen, a sit-down / stand-up desk, plenty of space to work comfortably, relatively private work areas, and other resources for top productivity. Our employees are not cogs in a machine and we don’t treat them that way. Paid vacation. Number of weeks commensurate with experience. Includes the luxury of being required (yes, required) by the firm’s founder to disconnect from work on your vacation days. We respond to all diligent applicants. We keep all applications private. One Day In July LLC is an equal opportunity employer. 1. “FINRA 2024 Industry Snapshot” FINRA, Dec 13, 2024 2. Source: The Kitces Report, "2024 Financial Planner Productivity Study" Retrieved 10 May 2025. The statement applies to clients with at least $150,000 in assets under management. Clients with lower assets under management are subject to a minimum annual advisory fee that may not be lower than that of our competitors'. #J-18808-Ljbffr