Compliance Analyst (Hybrid- Newark, NJ)

Broadridge Financial Solutions; Newark (NJ); On-site; USD 100,000 - 110,000; Full time

Job summary

Broadridge Financial Solutions is seeking a Compliance Analyst to support governance, controls certification, issues management, policy management, and regulatory mappings within our Compliance team.

You will partner with subject matter experts and business stakeholders to track remediation activities, monitor reviews, and prepare periodic reports to enhance oversight of the program.

Qualifications

• 3-5 years of audit, risk, or compliance experience.
• Ability to work independently and drive work to completion.
• Experience supporting compliance governance processes such as controls monitoring, issues management, policy management, or regulatory inventory reviews preferred.

Responsibilities

• Administer controls certification process and review evidence.
• Prepare periodic reporting for controls monitoring and issues management.
• Log, track, and remediate issues through resolution.
• Support regulations inventory review and quarterly sanctions process.
• Administer annual compliance reviews including risk assessment and attestation.
• Track follow-up items and focus areas from compliance reviews.
• Monitor policy review cycles and update as needed.
• Assist with regulatory mapping self-assessments and contract monitoring.

Skills

Audit/Risk/Compliance

Independent working

Federated model experience

Tools

AuditBoard/Optro

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 hiring! We’re seeking a Compliance Analyst to join our Compliance team. You will be responsible for supporting key compliance governance and monitoring processes, including controls certification, issues management, regulatory inventory reviews, policy management, and compliance assessments. The role involves partnering with subject matter experts and business stakeholders to track remediation activities, monitor recurring review processes, maintain regulatory mappings, and prepare periodic reporting to support effective oversight of the compliance program.

Responsibilities

• Administer and support the controls certification process, including initial review of evidence submitted by stakeholders
• Prepare periodic reporting related to controls monitoring activities
• Log, track, and monitor issues and associated remediation activities through resolution
• Prepare periodic reporting related to issues management and remediation status
• Administer and support the regulations inventory review process
• Complete initial review of the quarterly sanctions review process
• Administer and prepare annual compliance review procedures, including risk assessment, controls attestation, and supplemental questionnaires
• Track follow-up items, issues, and key focus areas identified through compliance review activities
• Monitor policy review cycles to ensure policies are reviewed and updated in a timely manner
• Support regulatory mapping activities by preparing self-assessments of compliance program regulatory guidance against program elements
• Manage the contract compliance monitoring process, including follow-up with subject matter experts and business contacts on outstanding action items
• Prepare periodic reporting related to contract monitoring and other compliance governance activities
• Build effective working relationships across a federated operating model to drive completion of assigned work
• Work independently and manage multiple compliance processes through completion

Qualifications

• 3-5 years of audit, risk, or compliance experience
• Ability to work independently and drive work to completion
• Ability to establish relationships and operate effectively in a federated working model
• Experience supporting compliance governance processes such as controls monitoring, issues management, policy management, or regulatory inventory reviews preferred
• Strong organizational skills and attention to detail
• Strong written and verbal communication skills, including the ability to prepare clear and concise reporting
• Experience with AuditBoard/Optro platform preferred
• Experience in financial services or fintech preferred

Compensation Range: The salary range for this position is between $100,000 - $110,000.

Bonus Eligibility: Bonus Eligible

Benefits Information: Please visit www.broadridgebenefits.com for more information on our comprehensive benefit offerings.

• All Colorado employees receive paid sick leave in compliance with the Colorado Healthy Families and Workplaces Act and other legally required benefits, as applicable.

We are dedicated to fostering a collaborative, engaging, and inclusive environment and are committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates 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 everyone’s unique perspective.

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.

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.

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 [e-mail].

Broadridge Financial Solutions (NYSE: BR) is a global technology leader with trusted expertise and transformative technology, helping clients and the financial services industry operate, innovate, and grow. We power investing, governance, and communications for our clients – driving operational resiliency, elevating business performance, and transforming investor experiences. Our technology and operations platforms process and generate over 7 billion communications annually and underpin the daily average trading of over $15 trillion in equities, fixed income, and other securities globally.

A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 15,000 associates in 21 countries.

Broadridge is committed to creating an engaging workplace for the most talented associates in our industry. We are dedicated to fostering a collaborative, inclusive, and healthy environment that promotes flexibility and accountability. As a leading provider of technology, communications, and data and analytics solutions to businesses around the world, it is critical that we understand, embrace, and operate in a multicultural environment. Every associate has unique strengths, which, when fully appreciated and embraced, allow individuals to perform at their best, leading to our success. We believe that our associates are our most important asset.

Encouraging professional development opportunities is a core part of our culture. Broadridge provides educational opportunities, including formal classes, training programs and events. To enable learning in our hybrid working model, Broadridge has redesigned all development programs for 100% virtual delivery. Our associates have access to 8,500+ online courses covering business, leadership, technical, and function-specific topics through our LinkedIn Learning program.