Strive Asset Management is a new asset manager with the mission of restoring the voices of everyday citizens in the American economy. Strive, co-founded by Vivek Ramaswamy and Anson Frericks, has attracted over $500 million in AUM in its first three months of operation.
- Lead the Compliance function for Strive Asset Management and oversee Strive’s compliance control structure.
- Serve as a resource for employees, contractors, and third-party partners .
- Continually review, enhance and structure the Strive compliance control structure to ensure compliance with applicable regulatory requirements, address Strive’s business, both current and future.
- Effectively identify, communicate and escalate compliance matters to Strive’s senior management team, including the general counsel
- Monitor for and analyze proposed and current regulatory requirements and interpretations that impact or may impact Strive’s businesses, operations and functions.
- Draft, enhance, implement and monitor compliance policies and procedures.
- Conduct, design and enhance tests of compliance policies and procedures pursuant to Rule 206(4)-7 under the Investment Adviser’s Act of 1940 (IAA) and other applicable
- Analyze and enhance the compliance testing program for Strive’s compliance policies and procedures and identify opportunities for technology-based compliance solutions.
- Work with the head of marketing to review all types of marketing, advertising, social media, and client service-related materials for compliance with IAA, FINRA and other regulatory requirements. Oversee Strive’s review processes and controls.
- Design, assess, enhance and monitor Strive’s internal controls.
- Monitor trading and investment activity against investment guidelines, restrictions, disclosures, and regulatory requirements.
- Oversee third party vendor relationships involving Strive and perform due diligence and risk assessments.
- Provide training on regulatory and compliance related matters and requirements.
- Prepare and submit regulatory filings and reports for Strive and its affiliates.
- Work with the general counsel to coordinate relationships with Strive’s Funds advisor, broker-dealer, and external compliance advisor.
- Work with the general counsel to prepare Strive for regulatory examinations, reviews, and queries.
Qualifications & Requirements:
- Competitive compensation package, including a generous initial equity grant
- Aetna Health, Vision & Dental Insurance
- PEO-sponsored 401K plan
- And 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.