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.

The Position

The responsibilities of the Advertising Compliance Analyst focus on ensuring advertising and marketing reviews are compliant with the regulatory landscape and completed within the expected time. This position will also assist in recommending enhancements to the overall workflow of the advertising and marketing submission process. A working knowledge of relevant laws, regulations, and polices is required.

Responsibilities

• Review and approve the firms advertising and marketing materials in accordance with FINRA and SEC regulations

• Conduct post reviews of internal or external communications to identify potential red flags or risks to the firm

• Assist in the review and implementation of the firm’s policies and procedures

• Participate in regulatory and internal audits when needed

• Interface with firm’s broker dealer, regulatory agencies, and compliance advisor as needed

• Assist in ad hoc tasks and/or projects upon request

Qualifications

• Bachelor’s degree preferred, or equivalent combination of education, training, and experience

• 2+ years of industry experience, preferably working in compliance within a broker-dealer with an emphasis on communication reviews

• Basic knowledge of securities products is a plus

• Knowledge of SEC and FINRA rules that apply to communications

• Strong interpersonal and written communication skills

• Highly motivated with capability to work with minimum supervision

• Ability to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential

Benefits

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