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About the Role
Manage day-to-day sanctions alert review and clearing activities across name and transaction-screening workflows. Oversee investigation queues, work allocation, prioritization, and progress against applicable service levels. Review available customer, counterparty, payment, and other relevant information to assess potential matches and document the rationale for decisions. Apply a risk-based approach to distinguish false positives from alerts requiring further investigation or escalation. Escalate potential true matches, higher-risk cases, and control or process concerns through the appropriate channels. Support consistent application of screening procedures, decision standards, and documentation requirements. Monitor operational performance, alert volumes, quality, and backlogs; identify issues and recommend practical improvements. Provide coaching and guidance to team members and support quality review of alert decisions. Partner with Compliance, Legal, Operations, and other relevant stakeholders to resolve complex cases and operational dependencies. Prepare or contribute to reporting on queue health, productivity, quality, escalations, and outstanding issues.
Responsibilities
- Manage day-to-day sanctions alert review and clearing activities across name and transaction-screening workflows.
- Oversee investigation queues, work allocation, prioritization, and progress against applicable service levels.
- Review available customer, counterparty, payment, and other relevant information to assess potential matches and document the rationale for decisions.
- Apply a risk-based approach to distinguish false positives from alerts requiring further investigation or escalation.
- Escalate potential true matches, higher-risk cases, and control or process concerns through the appropriate channels.
- Support consistent application of screening procedures, decision standards, and documentation requirements.
- Monitor operational performance, alert volumes, quality, and backlogs; identify issues and recommend practical improvements.
- Provide coaching and guidance to team members and support quality review of alert decisions.
- Partner with Compliance, Legal, Operations, and other relevant stakeholders to resolve complex cases and operational dependencies.
- Prepare or contribute to reporting on queue health, productivity, quality, escalations, and outstanding issues.
Requirements
- Strong technical experience in sanctions alert clearing and name and transaction-screening operations.
- Experience conducting risk-based investigations of potential sanctions matches and documenting clear, supportable decisions.
- Familiarity with relevant sanctions laws, programs, and regulatory expectations, including those associated with OFAC, the United Nations, the European Union, and Canadian requirements and OSFI guidance.
- Ability to identify cases that require further investigation or escalation and to act in accordance with internal procedures.
- Experience managing operational workflows and investigation queues, including prioritization and service-level monitoring.
- Strong attention to detail, sound judgment, and effective written communication skills.
- Ability to work collaboratively with Compliance and business stakeholders while managing competing priorities.
Skills
- Sanctions alert clearing
- Name and transaction-screening operations
- Risk-based investigations
- Sanctions laws and programs
- OFAC
- United Nations sanctions
- European Union sanctions
- Canadian sanctions requirements
- OSFI guidance
- Operational workflow management
- Investigation queue management
- Prioritization
- Service-level monitoring
- Attention to detail
- Sound judgment
- Written communication
- Collaboration
- Competing priorities management
- Screening platforms
- Case-management tools
- Operational reporting
- Alert-review procedures
- Quality controls
- Queue-management practices
- AML
- Financial-crime compliance
Location
- Hybrid
Work Type
- Hybrid
Experience Level
- Manager
- Senior Manager
- Prior experience leading or supervising a sanctions operations team
Education Level
- Relevant sanctions, AML, or financial-crime compliance training or certification
About the Company
- 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.
- 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.