ETF Compliance Strategist

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 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.