ETF Compliance Analyst

ARK Investment Management; Saint Petersburg (FL); On-site; USD 90,000 - 130,000; Full time

Job summary

ARK Investment Management in Saint Petersburg, FL is seeking an ETF Compliance Analyst to support regulatory compliance for ETFs and advisory strategies. You will monitor trading activity, investment guidelines, and adherence to the Code of Ethics.

The role requires experience with ETFs, registered investment advisers, and mutual funds, with strong attention to detail and collaboration with portfolio managers and operations. This is a full-time, on-site position in our corporate office.

Qualifications

• Experience with registered investment advisers, ETFs, mutual funds, or other regulated asset management products.
• Strong attention to detail and sound judgment.
• Comfort with trading and portfolio data and ability to work with investment professionals.

Responsibilities

• Monitor pre-trade and post-trade compliance with client guidelines, fund restrictions, investment policies, prospectus limitations, board-approved limits, and regulatory requirements.
• Review portfolio holdings, trade activity, exposures, concentrations, liquidity, restricted securities, and diversification requirements.
• Partner with portfolio managers, traders, operations, and technology teams to resolve trade compliance alerts and guideline exceptions.
• Review and escalate potential violations, trade errors, breaches, restricted-list issues, and other compliance matters.
• Support best execution oversight, including broker review, commission analysis, trading practices, and trade allocation.

Skills

ETF compliance

Regulatory knowledge

Portfolio monitoring

Attention to detail

Cross-functional collaboration

Job description

ARK Investment Management Is Hiring:

ETF Compliance Analyst

Who We Are

ARK is a global investment manager focused solely on investing in disruptive innovation that is changing the way the world works. Majority Owner, Catherine D. Wood, founded ARK in 2014 on the belief that innovation is key to growth. Rooted in over 40 years of experience, ARK aims to identify large-scale investment opportunities in the public and private markets resulting from technological innovations centered around genome sequencing, robotics, artificial intelligence, energy storage, and blockchain technology. We invest in the leaders, enablers, and beneficiaries of disruptive innovation.

ARK manages and sub advises long-only global equity and digital asset portfolios across a variety of investment vehicles, including a suite of exchange traded funds (ETFs), a venture fund, mutual funds, and separately managed accounts. Our investments are backed by an open research ecosystem designed to identify innovations with the potential for long-term growth. ARK has greater than $20 billion assets under management.

ARK is committed to ensuring equal employment opportunities for all employees and strives to maintain an environment free of discrimination based on race, color, religion, gender, national origin, ancestry, age, disability, genetic information, military or veteran status, marital status, sexual orientation, gender identity, citizenship, or any other protected category or characteristics as defined by federal, state, or local laws. If you want to learn more, please visit our "Philosophy" page to understand how ARK differs from traditional investment firms. We also encourage you to meet the ARK team and follow us on X.

*This is a Full-Time position based in our St. Petersburg, FL Corporate Office.

What You Will Do

The ETF Compliance Analyst will support the firm’s investment, trading, and regulatory compliance program for a buy-side asset manager operating ETFs and/or advisory strategies. This role will be responsible for monitoring portfolio compliance, trading activity, investment guidelines, regulatory requirements, Code of Ethics obligations, and ETF-specific controls.

The ideal candidate has experience with registered investment advisers, ETFs, mutual funds, or other regulated asset management products, and understands how compliance supports portfolio management, trading, operations, product, legal, and fund governance functions. This role requires strong attention to detail, sound judgment, comfort with trading and portfolio data, and the ability to work closely with investment professionals in a fast-paced environment.

This sample references common U.S. RIA and ETF compliance frameworks, including SEC investment adviser compliance program requirements, ETF Rule 6c-11, liquidity risk management requirements, and adviser Code of Ethics obligations. These should be tailored to the firm’s actual products, registrations, and legal structure.

Your Responsibilities

Trading and Portfolio Compliance

• Monitor pre-trade and post-trade compliance with client guidelines, fund restrictions, investment policies, prospectus limitations, board-approved limits, and regulatory requirements.
• Review portfolio holdings, trade activity, exposures, concentrations, liquidity, restricted securities, issuer limits, sector limits, diversification requirements, and other investment restrictions.
• Partner with portfolio managers, traders, operations, and technology teams to resolve trade compliance alerts and guideline exceptions.
• Review and escal? potential violations, trade errors, breaches, restricted-list issues, and other compliance matters.
• Support best execution oversight, including broker review, commission analysis, trading practices, trade allocation, aggregation, and broker-dealer monitoring.
• Assist with monitoring equity, fixed income, derivatives, ETFs, options, futures, swaps, foreign securities, private placements, or other instruments as applicable to the firm’s strategies.
• Maintain and enhance compliance rules within trading and portfolio compliance systems.
• Review investment activity for consistency with stated investment objectives, disclosures, internal policies, and client or fund mandates.

ETF and Registered Fund Compliance

• Support compliance oversight for ETF products, including creation/redemption activity, basket policies and procedures, custom basket controls, daily holdings processes, and ETF operational requirements.
• Assist with monitoring fund compliance under the Investment Company Act of 1940, applicable exemptive relief, ETF rules, prospectus requirements, and board-approved policies.
• Review ETF portfolio transparency, holdings disclosure, basket composition, pricing/NAV-related controls, and interactions with service providers where applicable.
• Coordinate with fund administrators, custodians, transfer agents, index providers, market makers, authorized participants, distributors, and legal counsel on compliance-related matters.
• Assist with liquidity risk management, derivatives risk management,