Compliance Officer - Strive

Strive is one of the fastestgrowing asset managers in the United States, generating over $1B in AUM in itsfirst year alone. Founded in 2022, we’re just getting started, and we’relooking for dynamic team members to join us in our mission to maximize valuefor clients by leading companies to focus on excellence. Strive is one of thefastest-growing ETF companies in America and is a fast-moving company thatis looking to expand our offerings and improve our processes, and we arelooking for driven individuals who want to both roll up their sleeves and helppaint the big picture.

Strive is hiring a ComplianceOfficer. In this role, you will report directly to our Chief Compliance Officerand work closely with all staff to help foster a culture of compliance atStrive.

Duties and Responsibilities:

• Assist in managing the firm’s Compliance Program
• Act as a resource for all matters regarding Strive’s Code of Ethics and Compliance Policies
• Draft, enhance, implement, and monitor compliance policies and procedures.
• Act as a point of contact for issue reporting.
• Assist in the completion of regulatory reporting including Form ADV.
• Review advertising materials for compliance with applicable SEC rules.
• Assist in the completion of the firm’s annual compliance review and risk assessment.
• Provide operational due diligence during the customer onboarding process.
• Assist the Chief Compliance Officer and General Counsel in all regulatory examinations.
• Other compliance-related tasks and projects as directed.

Qualifications:

• Bachelor's degree or higher in a related field.
  
• 2-5 years of experience, preferably within financial services.
• Working knowledge of the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and related regulatory requirements.
• This position is located in Dallas, Texas. Remote or hybrid arrangements will not be considered for this role.

Benefits:

• Competitive compensation package, including initial equity grant.
• Health, Vision & Dental Insurance.
• 401K plan with Company match.
• PTO.
• & plenty of others!

Strive provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.