Compliance Analyst ( Hybrid - New York City)
Broadridge is a company that empowers others to accomplish more, and they are currently seeking a Compliance Analyst to support their Investor Communication Solutions and Customer Communication business. The role involves conducting risk assessments, managing compliance issues, and collaborating with various teams to ensure effective governance and control measures.
Responsibilities
- Conduct routine risk assessments, compliance audits, and internal reviews to evaluate the effectiveness of governance and control measures
- Identify, monitor, and escalate emerging risks or compliance issues, proposing practical solutions and mitigation strategies
- Manage and maintain the risk management framework, ensuring alignment with business goals and information security standards
- Lead or support investigations of compliance incidents and provide recommendations for resolution and prevention
- Collaborate with teams across business units, including Information Security, Operations, Finance, and Product, to integrate risk awareness into daily activities and strategic initiatives
- Develop, update, and communicate risk and compliance policies, procedures, and training materials to promote a culture of accountability
- Prepare reports and dashboards that summarize risk trends, compliance outcomes, and internal control effectiveness for management review
- Support readiness for external audits, regulatory assessments, and contractual compliance reviews
- Contribute to ongoing improvements in risk processes through automation, data analysis, and best practice adoption
- Stay informed about industry regulations, emerging risks, and evolving compliance standards relevant to the organization
Skills
- Bachelor's degree in Business, Finance, Risk Management, Information Security, or a related field
- Analytical mindset with ability to interpret data and identify trends or areas for improvement
- 1-2 years of experience in risk management, compliance, internal audit, or information security preferred
- Professional certifications (e.g., CRISC, CISA, CISSP, or similar) are an advantage
- Knowledge of internal control and risk management frameworks such as COSO, ISO 31000, or NIST recommended but not required
Benefits
- Bonus Eligible
- Comprehensive benefit offerings
Company Overview