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Job ID: 008COM
Locations: Burlington, Vermont
Status: Full time
Salary: $55,000 - $70,000 commensurate with experience.
We are excited to be expanding our headquarters in Burlington, Vermont, and are looking for talented individuals to join our team.
One Day In July provides personalized investment management and fiduciary financial advice, generally focused on index funds, to clients in Vermont and across the United States.
You do not need prior financial industry experience, but a keen interest in learning about investing, economics, and financial markets is essential.
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. You will report to the Chief Compliance Officer, Jayne Bills. The ideal candidate should be an excellent communicator, detail-oriented, and possess strong organizational skills.
- 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 actions 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.
Learn More & Apply
Follow the link in this posting to learn more about this role and to apply.
(or visit: www.onedayinjuly.com/careers)
We respond to all diligent applicants. We keep all applications private.
One Day In July LLC is an equal opportunity employer.
Job Type: Full-time
Pay: $55,000.00 - $70,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Health insurance
- Paid time off
Schedule:
Work Location: Hybrid remote in Burlington, VT 05401