At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more. If you’re passionate about developing your career, while helping others along the way, come join the Broadridge team.
Broadridge is growing! Our team is seeking a Compliance Analyst to support our Investor Communication Solutions and Customer Communication business from a risk and control perspective. In this position, you will assist with over- arching controls and risk assessments, cross departmental and multiple site location collaboration pertaining to possible security incidents, data loss prevention and entitlement management. Day-to-day responsibilities will fluctuate depending on risk priorities and time of year in correlation with business demands. This position will offer a wide-variety of opportunities if you have an aptitude for risk mitigation and control.
We are made up of high performing teams that meet in person to learn and collaborate as needed. This role is considered hybrid, which means you’ll be assigned to our Edgewood New York office with a 2-day per week in-person expectation.
Responsibilities
- Conduct Internal Reviews & Audits: Perform periodic reviews or audits to ensure risk is mitigated and compliance procedures are strictly followed.
- Manage Investigations: Conduct or direct internal investigations of compliance issues to identify gaps and implement corrective measures.
- Risk Assessment & Strategy Development: Assess product, compliance, and operational risks, particularly within the ICS business units, and develop strategies that effectively mitigate these risks.
- Oversee Risk Management Processes: Develop and manage comprehensive processes for risk assessment, identification, monitoring, and reduction aligned with our external business objectives.
- Ensure Internal Controls: Maintain a strong internal control environment by ensuring compliance with internal policies, standard operating procedures, and information security protocols.
- Campaign Leadership: Lead campaigns that involve operations, including data processing, programming, and tabulation, while understanding Broadridge pricing models and projecting associated costs.
- Project Guidance: Apply your technical expertise to provide guidance as a project manager, ensuring that structured work assignments meet defined goals and objectives
Qualifications:
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Bachelor’s degree in Business, Finance, Accounting, or 2 years of job related experience
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Experienced in Information Security, Risk mitigation, and industry control frameworks preferred
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Strong Project Management skills
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Proficiency in Microsoft Suite with a high level of proficiency within Excel.
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Ability to work under pressure and manage multiple projects at one time
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Detail oriented with excellent time management skills
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Ability to work both independently and in a team environment
Compensation Range: The salary range for this position is between $60,000 - $70,000. Broadridge considers various factors when evaluating a candidate's final salary including, but not limited to, relevant experience, skills, and education.
Bonus Eligibility: Bonus Eligible
Benefits Information: Please visit www.broadridgebenefits.com for more information on our comprehensive benefit offerings.
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Broadridge associates helped us envision our Connected Workplace - a work model that allows associates around the globe, dependent upon their role responsibilities, to take advantage of the benefits of both on-site and off-site work to support our clients, one another, and the communities where we live and work. Our Connected Workplace is grounded in the concept of FACS: Flexible, Accountable, Connected, and Supported, which is our commitment to our associates. FACS supports our strong culture and allows us to achieve business goals while supporting meaningful work-life integration for our associates.
We are dedicated to fostering a diverse, equitable, and inclusive environment and committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates can only do their best when they feel safe, understood, and valued, and we work diligently and collaboratively to ensure Broadridge is a company—and ultimately a community—that recognizes and celebrates diversity in all its dimensions.
Disability Assistance
We recognize that ensuring our long-term success means creating an environment where everyone is welcome, where everyone's strengths are valued, and where everyone can perform at their best. Broadridge provides equal employment opportunities to all associates and applicants for employment without regard to race, color, religion, sex (including sexual orientation, gender identity or expression, and pregnancy), marital status, national origin, ethnic origin, age, disability, genetic information, military or veteran status, and other protected characteristics protected by applicable federal, state, or local laws. US applicants: Click here to view the "EEO is the Law" poster.
If you need assistance or would like to request reasonable accommodations during the application and/or hiring process, please contact us at 888-237-7769 or by sending an email to [email protected].
What We Do
Broadridge Financial Solutions, Inc. (NYSE: BR), is a global fintech leader, delivering technology-driven solutions that drive digital transformation for banks, broker-dealers, asset and wealth managers and public companies. At Broadridge, we are committed to making a difference. Our unique culture is guided by the Service-Profit Chain—the idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation of stockholder value. We enable better financial lives by providing the critical infrastructure that powers investing, corporate governance and communications. A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 14,000 associates in 21 countries.
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