Amplify Careers

Compliance Manager

Location: Lisle, IL

This role provides compliance and operational support to Amplify ETFs. The Compliance Manager must be able to work independently and in a collaborative manner, as well as have a solid understanding of relevant federal rules and regulations. This role will require the successful candidate to stay abreast of a changing and complex regulatory environment and communicate potential policy deficiencies to relevant stakeholders.

Duties & Responsibilities

The Compliance Manager’s primary function is to work directly with the Chief Compliance Officer. The Manager will provide development, implementation, and ongoing administration and monitoring of practices which promote an effective RIA compliance program. Focus areas include overseeing maintenance and publication of the Compliance Policy Manual and ensuring the firm’s existing and new policies are aligned with relevant laws, rules, regulations and firm policies and procedures. The Manager will manage different compliance initiatives revolving around, for example, marketing material review, Code of Ethics, and overseeing periodic and annual compliance testing.

  • Bachelor’s degree or equivalent combination of experience and education
  • Demonstrated solutions-oriented decision-making abilities, and successful experience applying reasonable judgement.
  • Work experience in Compliance preferable with a Registered Investment
  • In-depth knowledge of industry compliance requirements and
  • Ability to successfully balance multiple projects and work priorities in a highly independent and self-directed environment.
  • Detail oriented with exceptional analytical abilities to understand and formulate compliance policies, procedures, and related documentation.
  • Effective research
  • Exceptional communication and interpersonal
Interested in applying for this job?

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