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About the Role

Broadridge is seeking a Manager / Senior Manager to lead Business-as-Usual (BAU) Know Your Customer (KYC) operations. The role involves overseeing KYC investigations, remediation, and periodic reviews, ensuring accuracy and compliance with AML/KYC requirements and internal procedures. The position will manage operational workflows, support issue resolution, and promote quality and productivity.

Responsibilities

Lead day-to-day BAU KYC operations, including remediation and periodic review activities.
Oversee investigation queues, work allocation, prioritization, and progress against service levels.
Guide the review and resolution of customer files, identifying missing, inconsistent, or higher-risk information.
Ensure customer due diligence (CDD) and enhanced due diligence (EDD) activities comply with regulatory requirements and internal policies.
Monitor operational performance, quality, and capacity; identify bottlenecks and recommend process improvements.
Escalate complex cases, control concerns, risks, and potential policy or regulatory issues.
Provide coaching, guidance, and practical support to team members, reinforcing procedures and documentation.
Partner with stakeholders to resolve case issues, address dependencies, and support timely review completion.
Maintain clear, accurate records of case decisions, escalations, and operational activities.
Support management reporting on queue health, productivity, quality, and outstanding issues.

Requirements

Experience handling end-to-end BAU KYC remediation and periodic reviews.
Deep understanding of AML/KYC regulatory requirements and customer due diligence (CDD/EDD) processes.
Experience managing operational workflows and high-volume investigation queues.
Ability to assess customer information, identify gaps or inconsistencies, and determine escalation needs.
Strong organizational skills, including prioritizing work and managing competing deadlines.
Clear written and verbal communication skills, with the ability to document decisions and explain issues to stakeholders.
Sound judgment, attention to detail, and a commitment to responsible customer information handling.

Skills

KYC
AML
CDD
EDD
Operational Workflows
Investigation Queues
Process Improvement
Stakeholder Management
Reporting
Coaching
Documentation

Location

Hybrid

Work Type

Hybrid
Full-time

Experience Level

Manager
Senior Manager

About the Company

At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more.
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.

Equal Opportunity

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.