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 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
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.
US applicants: Click here to view the EEOC "Know Your Rights" poster.
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 BRcareers@broadridge.com.