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Trading Operations Associate Jobs in Sarasota, FL

Webull

Associate, Clearing Operations

Saint Petersburg, FL · On-site

$75K - $90K/yr

From low-fee trading and robust market data to advanced analytical tools, we are committed to ... About The Role & Team The Associate, Clearing Operations supports end-to-end back-office clearing ...

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All JobsTrading Operations Associate JobsTrading Operations Associate Jobs in Sarasota, FL

Trading Operations Associate information

See Sarasota, FL salary details

$10

$25

$51

How much do trading operations associate jobs pay per hour?

As of Aug 18, 2026, the average hourly pay for trading operations associate in Sarasota, FL is $25.29, according to ZipRecruiter salary data. Most workers in this role earn between $17.16 and $29.18 per hour, depending on experience, location, and employer.

What is a trading operations associate?

Trading Operations Associates are professionals who support the daily activities of trading desks at financial institutions. Their key responsibilities include trade settlement, trade confirmation, reconciliation, and ensuring compliance with regulatory requirements. They act as a bridge between traders, back-office teams, and external parties to ensure transactions are processed smoothly and efficiently. Attention to detail, strong analytical skills, and the ability to work under pressure are essential for this role. This position offers valuable exposure to financial markets and is often a stepping stone to more advanced roles in finance.

What are the key skills and qualifications needed to thrive as a trading operations associate?

To thrive as a Trading Operations Associate, you need strong analytical skills, attention to detail, and a solid understanding of financial markets, typically supported by a degree in finance, economics, or a related field. Familiarity with trading platforms, order management systems (OMS), and proficiency in Excel or other data analysis tools are commonly required, and certifications like FINRA Series 7 or 63 may be advantageous. Exceptional problem-solving, communication, and time-management skills help you excel under pressure and work effectively with traders, clients, and back-office teams. These skills ensure accurate trade processing, risk mitigation, and smooth market operations in a high-stakes environment.

What are some common challenges faced by trading operations associates in supporting trade settlements and how are they addressed?

Trading Operations Associates often encounter challenges such as resolving trade discrepancies, ensuring timely settlement of trades, and managing high volumes of transactions under tight deadlines. Addressing these issues requires strong attention to detail, effective communication with counterparties and internal teams, and the ability to quickly troubleshoot and escalate problems when necessary. Many firms provide comprehensive training and utilize advanced reconciliation tools to help associates efficiently identify and resolve breaks, ensuring smooth trade lifecycle management.

What is the difference between Trading Operations Associate vs Trading Analyst?

AspectTrading Operations AssociateTrading Analyst
CredentialsTypically requires a bachelor's degree in finance, economics, or related field; certifications like CFA are a plus but not mandatorySimilar credentials; often holds a bachelor's degree, with some roles preferring CFA or related certifications
Work EnvironmentSupports trading desks by handling operational tasks, trade settlements, and compliance; fast-paced, team-orientedFocuses on analyzing trading data, market trends, and performance; analytical and research-driven
Employer & Industry UsageCommon in investment banks, asset management firms, and trading housesFound in financial institutions, hedge funds, and asset managers

While both roles require a finance background and involve working within trading environments, the Trading Operations Associate primarily manages operational tasks and trade support, whereas the Trading Analyst focuses on analyzing market data and trading performance. They often work closely but serve different functions within trading teams.

What job categories do people searching Trading Operations Associate jobs in Sarasota, FL look for?

The top searched job categories for Trading Operations Associate jobs in Sarasota, FL are:

What cities near Sarasota, FL are hiring for Trading Operations Associate jobs?

Cities near Sarasota, FL with the most Trading Operations Associate job openings:

Trading Operations Associate jobs near you
Infographic showing various Trading Operations Associate job openings in Sarasota, FL as of August 2026, with employment types broken down into 1% As Needed, 80% Full Time, 15% Part Time, 1% Temporary, and 3% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $52,608 per year, or $25.3 per hour.

Compliance Trading Associate

ARK Investment Management

Saint Petersburg, FL • On-site

Full-time

Posted 24 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/

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