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.

Our growing team is currently 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 or New York City office with a 2-day per week in-office expectation.

Responsibilities

• Conduct routine internal audits to ensure compliance and risk mitigation procedures are strictly adhered to.
• Lead or direct internal investigations related to compliance issues. Evaluate risks associated with products, compliance, or operations, and develop risk management strategies, including for ICS business units.
• Develop and manage comprehensive processes for risk management and mitigation, which include assessing, identifying, monitoring, and minimizing relevant business and information security risks.
• Address issues related to software and internet applications, including performance, maintenance, system resources, and service support for internet sites.
• Reinforce security awareness among associates regarding Broadridge's information security practices.
• Assist in ensuring that information security training and awareness programs are completed within the business unit.
• Help update and validate critical information, such as application inventory and segregation of duties.
• Serve as a liaison between Information Security Governance, Risk & Compliance, and respective business units.
• Monitor and control internal Broadridge Customer Communication emails as part of Data Loss Prevention (DLP) efforts. Make determinations to release, reject, or escalate emails when DLP policies are triggered.
• Support audits and reviews of new and emerging products within Investor Communication Solutions.
• Assist Investor Communication Solutions by monitoring security incidents for any potential exposure of personally identifiable information (PII).

Qualifications:

• Bachelor’s degree in Business, Finance, Accounting, or related field and job related experience 1 – 2 years

• 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.

• Ability to work under pressure and manage multiple projects at one time

• Detail oriented with excellent time management skills

• Ability to work both independently and in a team environment

Compensation Range: The salary range for this position is between $62,000 - $67,000. 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.

#LI-EP1

#LI-Hybrid

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 BRcareers@broadridge.com.