Compliance Analyst; Hybrid- Newark, NJ

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.

• 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

• 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 Audit Board/Optro platform (preferred)
• Experience in financial services or fintech (preferred)

Compensation: $100,000 – $110,000 per year.

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, ethnicity, age, disability, genetic information, military or veteran status, and other protected characteristics protected by applicable federal, state, or local laws.