Compliance Analyst

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! We are seeking a Compliance Analyst to join our dynamic team in Edgewood, NY. In this role, you will support our Investor Communication Solutions and Customer Communication business from a risk and control perspective.  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.  

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

• Conducts periodic internal reviews or audits to ensure that risk is mitigated and compliance procedures are followed.

• Conducts or directs the internal investigation of compliance issues.

• Assess product, compliance, or operational risk and develops risk management strategies, which includes the ICS business units.

• 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.

• Develops, implements and evaluates processes ensuring business goals and cost requirements are met.  

• Monitors, assesses and ensures high levels of productivity and delivery to achieve planned ROI.  

• Works with software and internet applications including performance issues, maintenance, system resources, and service and support internet sites.

• 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:

• Bachelor’s degree in Business, Finance, Accounting, Business Administration preferred

• Experienced in Information Security, Risk mitigation, and industry control frameworks preferred

• Strong Project Management skills

• Proficiency in Microsoft Suite with a high level of proficiency within Excel

• Familiarity with Artificial Intelligence (AI) tools a plus

• Detail oriented with excellent time management skills, and ability to work under pressure while managing multiple projects at one time

• Ability to work both independently and in a team environment

• Strong written and verbal communication skills, with ability to explain data in an engaging manner

The salary range for this position is $65,000 - $68,000 annual. Broadridge considers various factors when evaluating a candidate's final salary including, but not limited to, relevant experience, skills, and education. Bonus Eligible.

Please visit www.broadridgebenefits.com for more information on our comprehensive benefit offerings.

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We are dedicated to fostering a collaborative, engaging, and inclusive environment and are committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates 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 everyone’s unique perspective.

Use of AI in Hiring 

As part of the recruiting process, Broadridge may use technology, including artificial intelligence (AI)-based tools, to help review and evaluate applications. These tools are used only to support our recruiters and hiring managers, and all employment decisions include human review to ensure fairness, accuracy, and compliance with applicable laws. Please note that honesty and transparency are critical to our hiring process. Any attempt to falsify, misrepresent, or disguise information in an application, resume, assessment, or interview will result in disqualification from consideration.

US applicants: Click here to view the EEOC "Know Your Rights" poster.

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. 

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].