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About the Role
Broadridge is seeking a Senior Manager to support financial crime compliance testing and quality assurance across anti-money laundering (AML), sanctions, and related compliance programs. In this role, you will assess control design and operating effectiveness, identify gaps and risks, and communicate findings to stakeholders.
Responsibilities
- Plan and execute risk-based testing and quality assurance reviews across financial crime compliance controls, including AML and sanctions.
- Assess control design and operating effectiveness against applicable requirements, internal policies, procedures, and risk frameworks.
- Develop or refine test objectives, procedures, sampling approaches, evidence requests, and documentation standards.
- Review records, process documentation, and other supporting evidence; document work clearly enough to support independent review.
- Identify control weaknesses, coverage gaps, recurring issues, and potential root causes; evaluate the significance of findings.
- Prepare concise, audit-ready reports that explain the scope, methodology, evidence, results, and recommended actions.
- Discuss findings with business and compliance stakeholders, validate factual accuracy, and support timely resolution of questions.
- Track remediation commitments and assess whether corrective actions adequately address identified issues.
- Summarize themes and trends to help stakeholders strengthen financial crime risk management and control performance.
- Manage review activities and deliverables, coordinating with relevant partners to keep work on schedule.
Requirements
- Proven experience conducting AML or sanctions compliance testing, monitoring, or internal audits.
- Solid understanding of financial crime risk management frameworks and the role of controls in mitigating risk.
- Demonstrated ability to evaluate control effectiveness, identify coverage gaps, and assess the significance of issues.
- Experience preparing clear, well-supported test documentation and audit-ready reports.
- Strong analytical skills, attention to detail, and sound professional judgment.
- Clear written and verbal communication skills, including the ability to explain findings to varied stakeholders.
- Ability to organize multiple review activities and meet agreed deadlines.
Skills
- AML
- Sanctions Compliance
- Compliance Testing
- Quality Assurance
- Risk Management
- Internal Audit
- Analytical Skills
- Attention to Detail
- Professional Judgment
- Written Communication
- Verbal Communication
Location
- Hybrid
Work Type
- Hybrid
Experience Level
- 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.