Compliance Analyst (Hybrid- Newark, NJ)

Responsibilities

• 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
• Maintain 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

Qualifications

• 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 AuditBoard/Optro platform preferred
• Experience in financial services or fintech preferred

Pay

The salary range for this position is between $100,000 - $110,000. Bonus Eligibility: Bonus Eligible

Benefits

Please visit www.broadridgebenefits.com for more information on our comprehensive benefit offerings.