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.
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.
Asset Management Senior Trading Associate This position will follow our hybrid work model; we expect the selected candidate to work 3 days a week at our Saint Petersburg, FL, corporate office. As ...
Asset Management Senior Trading Associate This position will follow our hybrid work model; we expect the selected candidate to work 3 days a week at our Saint Petersburg, FL, corporate office. As ...
As part of the AMS Trading team, the Asset Management Senior Trading Associate utilizes knowledge and skills acquired through work experience to review and implement model portfolio overlays across ...
As part of the AMS Trading team, the Asset Management Senior Trading Associate utilizes knowledge and skills acquired through work experience to review and implement model portfolio overlays across ...
As part of the AMS Trading team, the Asset Management Senior Trading Associate utilizes knowledge and skills acquired through work experience to review and implement model portfolio overlays across ...
As part of the AMS Trading team, the Asset Management Senior Trading Associate utilizes knowledge and skills acquired through work experience to review and implement model portfolio overlays across ...
International Trade Associate
$15.25 - $19.25/hr
Job Purpose and Impact The International Trade Associate, under direct supervision, will help coordinate and plan export processes, customs documentation validation and shipping and receiving ...
New
International Trade Associate
$15.25 - $19.25/hr
Job Purpose and Impact The International Trade Associate, under direct supervision, will help coordinate and plan export processes, customs documentation validation and shipping and receiving ...
New
Trade Specialist
Jacksonville, FL ยท On-site +1
The Trade Specialist serves as a critical liaison between the centralized trade organization ... With a team of over 20,000 associates, we're a community of forward-thinking, value-driven ...
Trade Specialist
Jacksonville, FL ยท On-site +1
The Trade Specialist serves as a critical liaison between the centralized trade organization ... With a team of over 20,000 associates, we're a community of forward-thinking, value-driven ...
Trade Specialist
Jacksonville, FL ยท On-site
$21 - $23/hr
Associate's degree preferred; concentration in Business, Finance, Accounting, Supply Chain, or 3-5+ years related field preferred. * An equivalent combination of relevant education, training, and ...
Trade Specialist
Jacksonville, FL ยท On-site
$21 - $23/hr
Associate's degree preferred; concentration in Business, Finance, Accounting, Supply Chain, or 3-5+ years related field preferred. * An equivalent combination of relevant education, training, and ...
Trading Support Associate III - Rebalance Support
Saint Petersburg, FL ยท On-site
$16 - $20.75/hr
Trading Support Associate III Aid in managing client assets by developing portfolio strategies, performing stock analysis, and reviewing asset management strategies. Implement financial tracking ...
Trading Support Associate III - Rebalance Support
Saint Petersburg, FL ยท On-site
$16 - $20.75/hr
Trading Support Associate III Aid in managing client assets by developing portfolio strategies, performing stock analysis, and reviewing asset management strategies. Implement financial tracking ...
With a team of over 20,000 associates, we're a community of forward-thinking, value-driven ... Trade Specialist , you'll play a key role in ensuring seamless client operations and driving ...
With a team of over 20,000 associates, we're a community of forward-thinking, value-driven ... Trade Specialist , you'll play a key role in ensuring seamless client operations and driving ...
Trading Support Associate III - Rebalance Support
Saint Petersburg, FL ยท Hybrid
$16 - $20.75/hr
As a Trading Support Associate III, you will apply advanced knowledge and skills acquired through experience and training to support specific trading activities within the designated functional area.
Trading Support Associate III - Rebalance Support
Saint Petersburg, FL ยท Hybrid
$16 - $20.75/hr
As a Trading Support Associate III, you will apply advanced knowledge and skills acquired through experience and training to support specific trading activities within the designated functional area.
Trading Support Associate III - Rebalance Support
Saint Petersburg, FL ยท On-site
$16 - $20.75/hr
As a Trading Support Associate III, you will apply advanced knowledge and skills acquired through experience and training to support specific trading activities within the designated functional area.
Trading Support Associate III - Rebalance Support
Saint Petersburg, FL ยท On-site
$16 - $20.75/hr
As a Trading Support Associate III, you will apply advanced knowledge and skills acquired through experience and training to support specific trading activities within the designated functional area.
The Trading Systems Support Senior Associate will support daily trading activities and vendor integration within the Webull Pay Operations team, ensuring operational excellence and compliance in ...
The Trading Systems Support Senior Associate will support daily trading activities and vendor integration within the Webull Pay Operations team, ensuring operational excellence and compliance in ...
Trading Systems Support Senior Associate
Saint Petersburg, FL ยท On-site
$90K - $115K/yr
The Trading Systems Support Senior Associate will be part of the Webull Pay Operations team, supporting the daily trading activity as well as vendor integration and process improvement. This role ...
Trading Systems Support Senior Associate
Saint Petersburg, FL ยท On-site
$90K - $115K/yr
The Trading Systems Support Senior Associate will be part of the Webull Pay Operations team, supporting the daily trading activity as well as vendor integration and process improvement. This role ...
Retail Associate
Jacksonville, FL ยท On-site
$14.25 - $14.75/hr
Position Overview A successful Retail Store Associate will strive to go for WOW ... Go for WOW! is the standard of customer service at Duluth Trading Company. It is treating the ...
Retail Associate
Jacksonville, FL ยท On-site
$14.25 - $14.75/hr
Position Overview A successful Retail Store Associate will strive to go for WOW ... Go for WOW! is the standard of customer service at Duluth Trading Company. It is treating the ...
Retail Associate
Jacksonville, FL ยท On-site
$14.25 - $14.75/hr
Position Overview A successful Retail Store Associate will strive to go for WOW ... Go for WOW! is the standard of customer service at Duluth Trading Company. It is treating the ...
Retail Associate
Jacksonville, FL ยท On-site
$14.25 - $14.75/hr
Position Overview A successful Retail Store Associate will strive to go for WOW ... Go for WOW! is the standard of customer service at Duluth Trading Company. It is treating the ...
Associate Trader
Coral Gables, FL ยท On-site
Daily preparation of trading P&L and reconciliating results versus accounting figures. * Assisting trading group in the elaboration and update of S&D reports, open demand, marketing plan, etc.
Associate Trader
Coral Gables, FL ยท On-site
Daily preparation of trading P&L and reconciliating results versus accounting figures. * Assisting trading group in the elaboration and update of S&D reports, open demand, marketing plan, etc.
Assisting trading group in the elaboration and update of S&D reports, open demand, marketing plan, etc. Ensure purchase & sales contracts input to the system is performed on time and accurately as ...
Assisting trading group in the elaboration and update of S&D reports, open demand, marketing plan, etc. Ensure purchase & sales contracts input to the system is performed on time and accurately as ...
Associate Trader
Coral Gables, FL ยท On-site
Daily preparation of trading P&L and reconciliating results versus accounting figures.Assisting trading group in the elaboration and update of S&D reports, open demand, marketing plan, etc.Ensure ...
Associate Trader
Coral Gables, FL ยท On-site
Daily preparation of trading P&L and reconciliating results versus accounting figures.Assisting trading group in the elaboration and update of S&D reports, open demand, marketing plan, etc.Ensure ...
Associate Trader
Coral Gables, FL ยท On-site
Daily preparation of trading P&L and reconciliating results versus accounting figures. * Assisting trading group in the elaboration and update of S&D reports, open demand, marketing plan, etc.
Associate Trader
Coral Gables, FL ยท On-site
Daily preparation of trading P&L and reconciliating results versus accounting figures. * Assisting trading group in the elaboration and update of S&D reports, open demand, marketing plan, etc.
Seasonal Retail Associate
Jacksonville, FL ยท On-site
$14.25 - $14.75/hr
Position Overview A successful Retail Store Associate will strive to go for WOW ... Go for WOW! is the standard of customer service at Duluth Trading Company. It is treating the ...
Seasonal Retail Associate
Jacksonville, FL ยท On-site
$14.25 - $14.75/hr
Position Overview A successful Retail Store Associate will strive to go for WOW ... Go for WOW! is the standard of customer service at Duluth Trading Company. It is treating the ...
Trading Associate information
See Florida salary details
$8.08 - $8.64
3% of jobs
$8.64 - $9.19
5% of jobs
$9.19 - $9.75
2% of jobs
$9.75 - $10.30
2% of jobs
$10.69 is the 25th percentile. Wages below this are outliers.
$10.30 - $10.86
18% of jobs
The median wage is $11.21 / hr.
$10.86 - $11.42
31% of jobs
$11.91 is the 75th percentile. Wages above this are outliers.
$11.42 - $11.97
16% of jobs
$11.97 - $12.53
14% of jobs
$12.53 - $13.08
6% of jobs
$13.08 - $13.64
2% of jobs
$13.64 - $14.19
1% of jobs
$8
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$14
How much do trading associate jobs pay per hour?
What skills and qualifications are needed to thrive as a trading associate?
How does a trading associate collaborate with portfolio managers and analysts during the trading process?
Is trading a good career?
What is the difference between Trading Associate vs Investment Analyst?
| Aspect | Trading Associate | Investment Analyst |
|---|---|---|
| Required Credentials | Typically a bachelor's degree in finance, economics, or related field; certifications like Series 7 or 63 may be preferred | Usually a bachelor's degree in finance, economics, or related; often pursue CFA or similar certifications |
| Work Environment | Fast-paced trading floors or financial firms, focusing on executing trades and supporting traders | Office setting, analyzing market data, preparing reports, and making investment recommendations |
| Employer & Industry Usage | Used by investment banks, hedge funds, asset management firms | Common in asset management, investment firms, and research institutions |
While both roles require finance knowledge and similar educational backgrounds, Trading Associates focus on executing trades and supporting trading activities in fast-paced environments. Investment Analysts primarily analyze data and provide investment insights. The roles complement each other within financial firms but differ in daily responsibilities and focus areas.
Is trading assistant a good job?
What is a trading associate?

Full-time
Posted 14 days ago
Job description
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/
About Ark investment management
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