Compliance Analyst

3 weeks ago

Burlington, United States One Day In July LLC Full time

**Job ID**: 008COM
**Location**: Hybrid Burlington, Vermont and Remote
**Status**: Full-time

**Salary**
- $55,000 to $70,000, commensurate with experience.

**Firm Summary**

Headquartered in Burlington, VT, One Day In July delivers low-fee financial advice, generally focussing 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.

**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.
- Coordinate with clients to complete various paperwork and other tasks.
- Update client records and organize communications.
- Identify various anomalies or errors and take corrective action 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.
- 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.
- Have excellent computer skills: Excel, Word, Gmail, and web browsers.
- 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.
- Share our firm's mission and investment philosophy of lowering fees and espousing the value of diversified, low-cost index funds.

**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 financial advisors are registered in a way that requires them to be fiduciaries on all accounts.)(1)
- Win on price: our prices are almost always significantly lower than those of our competitors. It is fun to be in a firm that is winning and taking market share.
- 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. The CCO, Jayne Bills, will provide you with one-on-one training and mentorship to ensure you are equipped with the knowledge and skills you need to succeed in the role.
- 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.
- Enjoy a beautiful office near the Burlington waterfront while spending Fridays working from home if desired. (Work-from-home Fridays not available in the first six months.)

**Hours / In-Person & Remote**
- This job is full time.
- This job is primarily in-person in Burlington, VT, although you may work from home Fridays after the first 6 months.

**Benefits**
- 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.
- Health care plan.
- A plant for your desk. (Sometimes it’s even alive).

**To Apply**
- A r

  • Compliance Analyst

    2 weeks ago

    Burlington, United States KMRG, LLC Full time

    **ROLE** We are looking for an experienced Compliance Analyst** **to support the U.S. Attorney’s Office - District of Vermont (USAO DVT). The role involves assisting with civil rights investigations, conducting public communication intake, formulating investigative plans, and supporting litigation and trial preparation. Your scope of work focuses on...

  • Sr. Trade Compliance Analyst

    3 days ago

    Burlington, United States Desktop Metal Full time

    Job Description Job Description Desktop Metal (NYSE: DM) is pioneering a new generation of additive manufacturing technologies focused on the production of end-use parts. We offer a portfolio of integrated additive manufacturing solutions for engineers, designers and manufacturers comprised of hardware, software, materials and services. Our solutions span...

  • Sr. Trade Compliance Analyst

    4 weeks ago

    Burlington, United States Desktop Metal Full time

    Job DescriptionJob DescriptionDesktop Metal (NYSE: DM) is pioneering a new generation of additive manufacturing technologies focused on the production of end-use parts. We offer a portfolio of integrated additive manufacturing solutions for engineers, designers and manufacturers comprised of hardware, software, materials and services. Our solutions span use...

  • Cost Accounting Analyst

    3 weeks ago

    Burlington, United States University of Vermont Full time

    Position Details **Advertising/Posting Title** - Cost Accounting Analyst**Diversity Statement**Posting Summary** - This position reports to the Senior Cost Accounting Analyst, and has primary responsibilities related to the University’s cost accounting functions of Facilities & Administrative (F&A) rates, space inventory, effort management & reporting...

  • Financial Analyst

    4 weeks ago

    Burlington, United States InsideHigherEd Full time

    Advertising/Posting Title:Financial AnalystDiversity Statement:The University is especially interested in candidates who can contribute to the diversity and excellence of the institution. Applicants are encouraged to include in their cover letter information about how they will further this goal.Posting Summary:.This position is eligible for 100% remote...

  • Senior Workday Analyst

    2 weeks ago

    Burlington, New Jersey, United States Burlington Stores Full time

    Burlington is looking to add a dynamic Senior Workday Analyst to our HRIS Team. If you are an experienced Workday analyst who possesses strong analytical skills with an understanding of the downstream impact of configuration and business process changes, specifically relating to ACA Reporting and Open Enrollment, we'd love to hear from youOur ideal candidate...

  • Vendor Operations Analyst

    2 weeks ago

    Burlington, United States Burlington Stores Full time

    **LOCATION** 2006 Route 130 North Burlington NJ US 08016 **Overview** If you want an exciting job with one of the largest off-price retailers in the nation, join Burlington Stores, Inc. team as a Vendor Operations Analyst! **Position Summary**: Research and analyze vendor performance metrics and identify root cause of recurring compliance issues. Review...

  • Fraud Analyst

    4 weeks ago

    South Burlington, United States Vermont Federal Credit Union Full time

    Vermont Federal Credit Union values each individual and their unique abilities and strengths to help form the foundation of Vermont Federals' culture. Our employees are at the core of Vermont Federal and we strive to make that a priority every day.As an organization, our stated Purpose is to help Vermonters prosper, no matter where they may be on life's...

  • Fraud Analyst

    2 weeks ago

    South Burlington, Vermont, United States Vermont Federal Credit Union Full time

    Vermont Federal Credit Union values each individual and their unique abilities and strengths to help form the foundation of Vermont Federals' culture. Our employees are at the core of Vermont Federal and we strive to make that a priority every day.As an organization, our stated Purpose is to help Vermonters prosper, no matter where they may be on life's...

  • Client Support Analyst

    7 days ago

    Burlington, United States Cirrus Group Consulting Full time

    Job DescriptionJob DescriptionDescriptionOur Client has evolved far beyond its origins as a Managed Services Provider (MSP). Today, they stand as a comprehensive technology solutions provider, offering a broad spectrum of services that go beyond traditional IT support. The portfolio now includes digital marketing, data analytics, compliance, security...

  • Client Support Analyst

    1 week ago

    Burlington, United States Cirrus Group Consulting Full time

    Job DescriptionJob DescriptionDescriptionOur Client has evolved far beyond its origins as a Managed Services Provider (MSP). Today, they stand as a comprehensive technology solutions provider, offering a broad spectrum of services that go beyond traditional IT support. The portfolio now includes digital marketing, data analytics, compliance, security...

  • IT Security Analyst

    1 week ago

    South Burlington, United States Vermont Federal Credit Union Full time

    **Vermont Federal Credit Union values each individual and their unique abilities and strengths to help form the foundation of Vermont Federal’s culture. Our employees are at the core of Vermont Federal and we strive to make that a priority every day. As an organization, our stated Purpose is to help Vermonters prosper, no matter where they may be on...

  • Sr. Logistics Analyst

    2 weeks ago

    Burlington, United States Soho Studio Full time

    Sr. Logistics Analyst -Immediate to hire- JoinTilebar TODAY! We're growing and adding a key role in our Logistics/Supply Chain Management group [Mostly remote opportunity] Play a pivotal role in devising tactical and strategic plans; lead and manage project-based logistics management programs and establish new guidelines and SOPs while enhancing our...

  • IT Security Analyst

    1 month ago

    South Burlington, United States Vermont Federal Credit Union Full time

    Vermont Federal Credit Union values each individual and their unique abilities and strengths to help form the foundation of Vermont Federal’s culture. Our employees are at the core of Vermont Federal and we strive to make that a priority every day. As an organization, our stated Purpose is to help Vermonters prosper, no matter where they may be on life’s...

  • IT Security Analyst

    1 month ago

    South Burlington, United States Vermont Federal Credit Union Full time

    Vermont Federal Credit Union values each individual and their unique abilities and strengths to help form the foundation of Vermont Federal's culture. Our employees are at the core of Vermont Federal and we strive to make that a priority every day.As an organization, our stated Purpose is to help Vermonters prosper, no matter where they may be on life's...

  • Payroll Analyst

    2 weeks ago

    Burlington, United States Burlington Stores Full time

    **LOCATION** 1830 Route 130 North Burlington NJ US 08016 **Overview** If you want an exciting job with one of the largest off-price retail stores in the nation, join the Burlington Stores, Inc. team as a Payroll Analyst! **A Day In The Life**: - Provide audit, research, reporting and analysis of the organization’s Payroll; typically responsible for...

  • Senior Financial Analyst

    4 weeks ago

    Burlington, United States ASTRION, INC. Full time

    Overview: Astrion has an exciting opportunity for a Senior Financial Analyst Treasury. This newly created position will provide monthly and annual internal planning, budgeting, financial analysis & reporting support in a rapidly growing company located in Burlington, MA. This role will also support treasury functions such as tax filings, registrations, and...

  • Senior Financial Analyst

    3 weeks ago

    Burlington, United States ASTRION, INC. Full time

    Overview Astrion has an exciting opportunity for a Senior Financial Analyst - Treasury. This newly created position will provide monthly and annual internal planning, budgeting, financial analysis & reporting support in a rapidly growing company located in Burlington, MA. This role will also support treasury functions such as tax filings, registrations, and...

  • Information Security Analyst

    4 weeks ago

    Burlington, United States IXIS, LLC Full time

    Job DescriptionJob DescriptionSalary: IXIS is seeking an information security analyst to join our team that is developing cutting-edge, custom analytics and dashboarding solutions. In this role, you will collaborate with senior leadership and all departments within the organization to establish, monitor and test security policies and practices for the entire...

  • Information Security Analyst

    2 weeks ago

    Burlington, United States IXIS, LLC Full time

    Job DescriptionJob DescriptionSalary: IXIS is seeking an information security analyst to join our team that is developing cutting-edge, custom analytics and dashboarding solutions. In this role, you will collaborate with senior leadership and all departments within the organization to establish, monitor and test security policies and practices for the entire...