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Broadridge · 9 hours ago

Compliance Analyst - Hybrid

Edgewood, NY

Full-time

Hybrid

Entry, Mid Level

$65K/yr - $70K/yr

Broadridge is a company that empowers others to accomplish more and is seeking a Compliance Analyst to join their team in Edgewood, NY. The role involves supporting Investor Communication Solutions and Customer Communication business from a risk and control perspective, including conducting audits, managing investigations, and overseeing risk management processes.

BankingCrowdfundingEnterprise SoftwareFinanceFinancial ServicesInformation TechnologyOutsourcingSoftwareVenture Capital

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

Qualification

Information SecurityRisk MitigationProject ManagementMicrosoft SuiteArtificial IntelligenceTime ManagementTeam CollaborationWritten CommunicationVerbal Communication