Junior Compliance Analyst - Finance Fiduciary

One Day in July; Burlington (VT); On-site; USD 60,000 - 70,000; Full time

Benefits offered by this job

401k plan

401k match

Mac laptop

Paid vacation

Office near Burlington waterfront

Job summary

One Day In July in Burlington, Vermont is seeking a Compliance Analyst to help the firm meet obligations under the Investment Advisers Act. The role is entry-level with on-the-job training and no prior industry experience required.

You will review client onboarding materials, perform annual reviews, maintain records, conduct compliance tests, and assist in training and marketing material reviews, while protecting confidentiality and ethical standards.

Qualifications

• Excellent communicator with strong written and verbal skills.
• Meticulous and detail-oriented with solid organizational abilities.
• Willingness to learn and adapt to regulatory requirements.
• Ability to identify issues and suggest improvements.

Responsibilities

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

Skills

Attention to detail

Communication skills

Organizational skills

Proactive problem solving

Regulatory risk awareness

Job description

One Day In July in Burlington, Vermont is seeking a Compliance Analyst to help the firm meet obligations under the Investment Advisers Act. The role is entry-level with on-the-job training and no prior industry experience required.

You will review client onboarding materials, perform annual reviews, maintain records, conduct compliance tests, and assist in training and marketing material reviews, while protecting confidentiality and ethical standards.