Entry-Level Compliance Analyst — Financial Services

One Day In July | Financial Advisors; Burlington (VT); On-site; USD 60,000 - 70,000; Full time

Benefits offered by this job

401k plan

401k match

Mac laptop

Vacation days

Job summary

One Day In July in Burlington, Vermont is seeking an entry‑level Compliance Analyst to help meet fiduciary obligations under the Investment Advisers Act and related rules. On‑the‑job training will be provided as you support onboarding, file reviews, and ongoing compliance testing.

The role emphasizes clear communication, meticulous recordkeeping, and proactive problem solving in a growing investment advisory environment.

Qualifications

• Entry-level role in financial services with on‑the‑job training.
• Strong communication, detail orientation, and organization required.
• Ability to identify issues and escalate or correct them as needed.

Responsibilities

• Review materials for new clients and accounts to ensure proper documentation.
• Perform annual client account reviews to verify fiduciary duties and documentation.
• Update client records and organize communications.
• Identify anomalies or errors and take corrective action.
• Conduct compliance tests to assess adherence to policies and procedures.
• Assist in reviewing marketing materials.
• Help maintain the firm’s recordkeeping system.
• Answer advisor questions and assist in developing training materials.
• Stay informed about regulatory changes for Registered Investment Advisers.

Skills

Attention to detail

Excellent communication

Organizational skills

Proactive mindset

Process & controls

Confidentiality & ethics

Job description

One Day In July in Burlington, Vermont is seeking an entry‑level Compliance Analyst to help meet fiduciary obligations under the Investment Advisers Act and related rules. On‑the‑job training will be provided as you support onboarding, file reviews, and ongoing compliance testing.

The role emphasizes clear communication, meticulous recordkeeping, and proactive problem solving in a growing investment advisory environment.