Compliance Associate

ARK Investment Management Is Hiring:

Compliance Associate

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$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 ourPhilosophypage to understand how ARK differs from traditional investment firms. We also encourage you to meet theARK teamand follow us onX.

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

What You Will Do

We expect you to play a key role in maintaining and strengthening ARKs compliance program with a focus on compliance with SEC and FINRA marketing rules. You will work closely with ARKs 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 firms compliance program.

Your work will contribute directly to ARKs mission by protecting the firm our investors and our reputationhelping ensure that our pursuit of disruptive innovation remains grounded in integrity and regulatory excellence.

Your Responsibilities

Primary Responsibility:

• The primary responsibility for this role is to conduct routine reviews of marketing materials investor communications and social media content to ensure regulatory compliance.

Secondary Responsibilities:

• Assist in the implementation and maintenance of ARKs 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 ARKs investment research and operations teams to ensure firmwide alignment with compliance standards.

Who You Are

• 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 curiouswilling 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.
• BONUS: Experience with compliance technology systems trade surveillance tools or regulatory filings.

How to Apply

To learn more about what its like to work at ARK please visit Experience:

IC