Compliance Officer

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

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

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.
• 3-5 years of experience within the Compliance, Legal or Supervisory division of an asset manager or wealth advisory firm.
• 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, TX. Fully remote arrangements will not be considered for this role.

Benefits:

• Competitive compensation package, including a generous initial equity grant
• Health, Vision & Dental Insurance
• 401K plan
• 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.