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
Requirements
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
Broadridge considers various factors when evaluating a candidate's final salary including, but not limited to, relevant experience, skills, and education.
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. Apply by clicking the application link and submitting your information. The deadline to apply for this role is August 1, 2026
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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 associate
Benefits
Health insurancePerformance bonus
Additional Information
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.
Broadridge · Newark, NJ