Compliance Analyst
| Company | Broadridge |
|---|---|
| Location | Catskill, NY, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Entry Level/New Grad, Junior |
Requirements
- Bachelor’s Degree Required
- Typically requires a college or university degree or equivalent work experience that provides knowledge and exposure to fundamental theories, principles, and concepts
Responsibilities
- Conducts periodic internal reviews or audits to ensure that risk is mitigated and compliance procedures are followed
- Conducts or directs the internal investigation of compliance issues
- Assesses product, compliance, or operational risk and develops risk management strategies, including those relevant to ICS business units
- Develops and manages the comprehensive process for risk management and risk mitigation, including assessing, identifying, monitoring, and reducing business and information security risks
- Ensures alignment of risk strategies with the company’s external business objectives and goals
- Maintains a strong internal control environment and ensures full compliance with internal control policies, standard operating procedures, information security procedures, and external auditor, regulatory, or contractual requirements
- Applies a theoretical knowledge base to achieve goals through own work
- May provide guidance to others as a project manager using technical expertise
Preferred Qualifications
-
No preferred qualifications provided.