Compliance Analyst - Hybrid

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