Compliance Associate

ARK Investment Management • St. Petersburg, FL

5d • Onsite

About The Position

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
$30 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.

We expect you to play a key role in maintaining and strengthening ARK’s compliance program, with a focus on compliance with SEC and FINRA marketing rules. You will work closely with ARK’s Director of Compliance – Marketing to assist in ensuring that all advertising and marketing communications adhere to applicable rules and regulations. While a large portion of the role will be focused on the review of marketing materials, you will also collaborate with the entire Legal and Compliance, as well as Operations, teams to support ongoing monitoring, testing, and overall implementation of the firm’s compliance program.

Your work will contribute directly to ARK’s mission by protecting the firm, our investors, and our reputation—helping ensure that our pursuit of disruptive innovation remains grounded in integrity and regulatory excellence.

Requirements

• You bring 3-5 years of experience in compliance, legal, or regulatory roles within investment management, private funds, or financial services. Experience with marketing review is strongly preferred.
• You have knowledge of relevant regulations (e.g., Investment Advisers Act, ’40 Act, SEC rules, FINRA/NFA frameworks).
• You have excellent attention to detail, strong organizational skills, and the ability to manage multiple priorities in a fast-paced environment.
• You are proactive, resourceful, and curious—willing to learn new systems, rules, and tools on the fly.
• You communicate clearly, both in writing and verbally, and can explain complex topics simply.
• You are a team player who values integrity, accountability, and collaboration.
• You have a strong interest in financial markets, innovation, and regulatory integrity.

Nice To Haves

• Experience with compliance technology systems, trade surveillance tools, or regulatory filings.

Responsibilities

• The primary responsibility for this role is to conduct routine reviews of marketing materials, investor communications, and social media content to ensure regulatory compliance.
• Assist in the implementation and maintenance of ARK’s compliance program, including policies, procedures, and testing.
• Support the preparation of regulatory filings, disclosures, and audits (SEC, FINRA, NFA, etc.).
• Monitor trading activities and personal trading reports for adherence to internal policies.
• Maintain accurate compliance records, logs, and documentation.
• Assist with onboarding and training programs to promote compliance awareness across the firm.
• Support ad hoc compliance projects, regulatory updates, and policy enhancements as needed.
• Collaborate cross-functionally with ARK’s investment, research, and operations teams to ensure firmwide alignment with compliance standards.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed