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.
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
Skills
- Bachelor's degree in Business, Finance, Accounting, Business Administration
- Experienced in Information Security, Risk mitigation, and industry control frameworks
- Strong Project Management skills
- Proficiency in Microsoft Suite with a high level of proficiency within Excel
- 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
- Familiarity with Artificial Intelligence (AI) tools
Benefits
- Bonus Eligible.
Company Overview
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