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
Monitor 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
Work independently and manage multiple compliance processes through completion

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.

Please visit www.broadridgebenefits.com for more information on our comprehensive benefit offerings.
All Colorado employees receive paid sick leave in compliance with the Colorado Healthy Families and Workplaces Act and other legally required benefits, as applicable.

Compliance Analyst

Key skills