Manager / Senior Manager, Financial Crime Compliance Testing (CONTRACT)

Broadridge Output Solutions; Toronto; Hybrid; CAD 120,000 - 180,000; Full time

Job summary

Broadridge is seeking a Senior Manager to support financial crime compliance testing and quality assurance across AML, sanctions, and related compliance programs. You will assess control design and operating effectiveness, identify gaps, and communicate findings with stakeholders.

The successful candidate brings hands-on experience in compliance testing, monitoring, or internal audit, with the ability to translate results into practical recommendations and audit-ready reporting.

Qualifications

• Hands-on experience in compliance testing, monitoring, or internal audit.
• Judgment to turn test results into practical recommendations and audit-ready reporting.
• Clear written and verbal communication skills to explain findings to stakeholders.
• Ability to organize multiple review activities and meet deadlines.

Responsibilities

• Plan and execute risk-based testing and QA reviews across financial crime controls, including AML and sanctions.
• Assess control design and operating effectiveness against requirements, policies, procedures, and risk frameworks.
• Develop or refine test objectives, sampling approaches, evidence requests, and documentation standards.
• Review records, process documentation, and other supporting evidence; document work clearly for independent review.
• Identify control weaknesses, gaps, recurring issues, and potential root causes; evaluate significance of findings.
• Prepare concise, audit-ready reports that explain scope, methodology, evidence, results, and actions.
• Discuss findings with stakeholders, validate factual accuracy, support timely resolution of questions.
• Track remediation commitments and assess corrective actions.
• Summarize themes and trends to help strengthen financial crime risk management and control performance.
• Manage review activities and deliverables, coordinating with partners to stay on schedule.

Skills

AML/Sanctions testing

Compliance testing

Internal audit

Test documentation

Analytical skills

Communication

Project organization

Job description

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 Senior Manager to support financial crime compliance testing and quality assurance across anti-money laundering (AML), sanctions, and related compliance programs. In this role, you will assess whether controls are appropriately designed and operating effectively, identify gaps and emerging risks, and communicate clear, evidence-based findings to stakeholders.

The successful candidate brings hands-on experience in compliance testing, monitoring, or internal audit, along with the judgment to turn test results into practical recommendations and audit-ready reporting.

Key Responsibilities:

• Plan and execute risk-based testing and quality assurance reviews across financial crime compliance controls, including AML and sanctions.
• Assess control design and operating effectiveness against applicable requirements, internal policies, procedures, and risk frameworks.
• Develop or refine test objectives, procedures, sampling approaches, evidence requests, and documentation standards.
• Review records, process documentation, and other supporting evidence; document work clearly enough to support independent review.
• Identify control weaknesses, coverage gaps, recurring issues, and potential root causes; evaluate the significance of findings.
• Prepare concise, audit-ready reports that explain the scope, methodology, evidence, results, and recommended actions.
• Discuss findings with business and compliance stakeholders, validate factual accuracy, and support timely resolution of questions.
• Track remediation commitments and assess whether corrective actions adequately address identified issues.
• Summarize themes and trends to help stakeholders strengthen financial crime risk management and control performance.
• Manage review activities and deliverables, coordinating with relevant partners to keep work on schedule.

Required Qualifications and Experience:

• Proven experience conducting AML or sanctions compliance testing, monitoring, or internal audits.
• Solid understanding of financial crime risk management frameworks and the role of controls in mitigating risk.
• Demonstrated ability to evaluate control effectiveness, identify coverage gaps, and assess the significance of issues.
• Experience preparing clear, well-supported test documentation and audit-ready reports.
• Strong analytical skills, attention to detail, and sound professional judgment.
• Clear written and verbal communication skills, including the ability to explain findings to varied stakeholders.
• Ability to organize multiple review activities and meet agreed deadlines.

Preferred Qualifications

• Experience working across compliance, risk, audit, or financial services environments.
• Relevant professional certification or training in compliance, financial crime, risk management, or internal audit.
• Experience supporting remediation tracking or assessing corrective actions.
• Experience leading review work or coordinating the contributions of other team members, particularly for Senior Manager-level candidates.

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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.