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Prospectus Jobs in Florida (NOW HIRING)

UAB

VICE PRESIDENT-RESEARCH

Tampa, FL

To view the full position prospectus, click here: Confidential review of applications, nominations and expressions of interest will begin immediately and will continue until an appointment is made.

Hancock Whitney Bank

Financial Advisor

Bradenton, FL · On-site

Completes all client's paperwork in accordance with compliance and company guidelines including providing prospectus if applicable. * Receives client's trade orders and instructions for money ...

SeaWorld

Supervisor, Theatrical Services

Orlando, FL · On-site

$16 - $22.25/hr

Have a complete understanding of event scheduling from prospectus to execution. * Have a comprehensive understanding of theatrical products, vendors, and product sources. * Be available to work ...

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Prospectus information

What are some common challenges faced by professionals working in prospectus development, and how can they overcome them?

Professionals involved in prospectus development often face challenges such as coordinating input from multiple departments, ensuring compliance with regulatory standards, and meeting tight publication deadlines. Effective communication and strong project management skills are essential to keep the process on track. Familiarity with relevant regulations, such as those from the SEC or other governing bodies, helps ensure that the document is both accurate and compliant. Building strong relationships with stakeholders and using collaborative tools can streamline information gathering and revisions, making the process more efficient.

What is the difference between Prospectus vs Financial Analyst?

AspectProspectusFinancial Analyst
Required CredentialsLegal and financial knowledge, often a background in law or financeFinance degree, certifications like CFA or CPA
Work EnvironmentLegal, corporate, or investment settings, preparing documentsFinancial firms, corporate finance, investment banks
Usage in IndustryLegal and regulatory documentation for securitiesFinancial planning, analysis, and reporting

The main difference is that a prospectus is a legal document used to provide detailed information about an investment offering, while a financial analyst evaluates financial data to guide investment decisions. Both roles require financial knowledge, but their functions and work environments differ significantly.

What are the key skills and qualifications needed to thrive as a prospect researcher, and why are they important?

To thrive as a Prospect Researcher, you need strong analytical skills, attention to detail, and experience in fundraising or nonprofit development, often supported by a relevant degree. Familiarity with research databases, CRM systems like Raiser's Edge or Salesforce, and certifications such as the APRA Fundamentals are typically required. Exceptional written communication, discretion, and persistence help build trust and secure critical donor information. These skills ensure effective identification and assessment of potential donors, directly supporting fundraising success and organizational growth.

What is a prospectus?

A Prospectus job typically refers to a role focused on creating, reviewing, or distributing prospectuses—documents that provide detailed information about an investment, academic program, or business venture. These professionals may work in finance, education, or publishing to ensure that prospectuses meet regulatory and informational requirements. Responsibilities can include researching, writing, editing, and ensuring compliance with legal or institutional guidelines.

What are popular job titles related to Prospectus jobs in Florida? For Prospectus jobs in Florida, the most frequently searched job titles are:
What job categories do people searching Prospectus jobs in Florida look for? The top searched job categories for Prospectus jobs in Florida are:
Prospectus jobs near you
Infographic showing various Prospectus job openings in Florida as of August 2026, with employment types broken down into 60% Full Time, and 40% Part Time. Highlights an 100% In-person job distribution.

Compliance Trading Associate

ARK Investment Management

Saint Petersburg, FL • On-site

Full-time

Posted 14 days ago

Job description

ARK Investment Management Is Hiring:
Compliance Trading 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 $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 Compliance Trading Associate 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 escalate 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, valuation, fair value, affiliated transactions, cross trades, and other registered fund compliance areas as applicable.
  • Prepare compliance reporting for internal committees, the CCO, fund boards, senior management, and external service providers.

RIA Compliance Program Support
  • Assist in maintaining and testing the firm's compliance policies and procedures under the Investment Advisers Act and related SEC requirements.
  • Support the firm's annual compliance review, risk assessment, compliance testing program, and remediation tracking.
  • Assist with Form ADV, Form CRS, Form PF, Form N-PORT, Form N-CEN, Form N-PX, 13F, 13H, Schedule 13D/G, Section 16, and other regulatory filings as applicable.
  • Review marketing materials, pitch books, factsheets, website content, RFP responses, performance presentations, and client communications for compliance with firm policies and applicable regulations.
  • Support compliance training for investment, trading, operations, sales, and client-facing personnel.
  • Maintain books and records in accordance with applicable regulatory requirements and internal retention policies.

Surveillance, Testing, and Controls
  • Conduct periodic testing of trading activity, investment restrictions, allocation practices, restricted-list controls, personal trading, best execution, and other compliance controls.
  • Develop exception reports, surveillance dashboards, and testing procedures to identify potential compliance risks.
  • Document reviews, findings, escalations, corrective actions, and approvals in a clear and organized manner.
  • Assist with internal audits, regulatory exams, mock exams, due diligence reviews, and third-party service provider oversight.
  • Identify opportunities to improve compliance workflows, automate manual processes, strengthen controls, and enhance reporting.
  • Track regulatory developments affecting RIAs, ETFs, registered funds, trading, disclosure, and investment management practices.

Qualifications
  • Bachelor's degree in finance, business, economics, accounting, law, or a related field.
  • 4+ years of compliance, legal, trading oversight, fund operations, portfolio compliance, or regulatory experience within an asset manager, RIA, ETF issuer, mutual fund complex, hedge fund, broker-dealer, compliance consulting firm, or financial regulator.
  • Working knowledge of buy-side trading, portfolio management, investment guidelines, trade lifecycle, and compliance monitoring.
  • Familiarity with SEC-registered investment advisers and registered funds, including ETFs or mutual funds.
  • Understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, Code of Ethics requirements, best execution, trade allocation, personal trading, and books and records obligations.
  • Strong analytical skills and ability to review trading, holdings, exposure, and compliance data.
  • Excellent written and verbal communication skills, including the ability to explain compliance issues clearly to investment and trading personnel.
  • High level of integrity, discretion, judgment, and professionalism.
  • Strong organizational skills and ability to manage multiple priorities, deadlines, and recurring compliance responsibilities.

Preferred Qualifications
  • Experience with ETFs, index-based strategies, active ETFs, model portfolios, SMAs, mutual funds, or multi-asset investment strategies.
  • Experience with portfolio compliance systems.
  • Knowledge of ETF creation/redemption processes, custom baskets, daily portfolio transparency, authorized participants, market makers, and ETF capital markets operations.
  • Familiarity with derivatives compliance, liquidity risk management, valuation, fair value processes, restricted securities, Rule 144A securities, and complex instruments.

How to Apply
To learn more about what it's like to work at ARK please visit https://ark-invest.com/work-at-ark/

Apply