14 compliance legal jobs found

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. Broadridge is growing! We are currently seeking a Compliance Analyst to support our Investor Communication Solutions and Customer Communication business from a risk and control perspective.  In this position, you will assist with over- arching controls and risk assessments, cross departmental and multiple site location collaboration pertaining to possible security incidents, data loss prevention and entitlement management.  Day-to-day responsibilities will fluctuate depending on risk priorities and time of year in correlation with business demands.  This position will offer a wide-variety of opportunities if you have an aptitude for risk mitigation and control.  We are made up of high performing teams that meet in person to learn and collaborate as needed....

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. Broadridge is hiring our next Associate Analyst based out of our Edgewood, NY office. You will be part of the Class Action team and assist in various stages of the litigation filing process. You will collaborate with team members on analyzing and processing client data within strict timelines, as well as correspond with internal and external team members within the organization. This role will entail extensive work with data, including creation of Macros, Report generation, Calculations, and Data manipulation in Excel. Ideal candidate will also contribute to the overall team knowledge by creating, maintaining, and reviewing process documentation. If you're looking to join a growing and diverse team and contribute to a dynamic firm, we urge you to continue...

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. Broadridge is hiring! We’re seeking a seasoned Technology Risk Leader to oversee enterprise-wide technology risk management. This role integrates IT audit, regulatory compliance, infrastructure and application risk oversight, AI/model risk governance, and M&A technology due diligence. The successful candidate will bring hands-on expertise across cloud and on-premise systems (including mainframe), distributed platforms, development, security, and operations, with strong familiarity with industry frameworks such as NIST, FFIEC, CIS, and COBIT. Responsibilities Enterprise Technology Risk Management: Develop and lead the technology risk program, including risk assessments, risk appetite alignment, and remediation tracking. IT Audit Leadership:...

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. Are you seeking a position within a growing company? Broadridge is hiring! Our mission is to attract, develop and retain extraordinary talent. Being a place where exceptionally driven and hardworking people want to work is how we deliver award-winning services to our customers and ultimately create customer value. Are you looking for a growing and dynamic firm where you can make an immediate impact? If so, we encourage you to read below because Broadridge is growing! Broadridge is seeking a Director, sales for our Corporate Issuer Group as we need to increase our sales coverage due to significant growth within our disclosure business. This role will provide the qualified individual an opportunity to join a highly talented sales team, with the...

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. Broadridge is looking for a Senior Contracts Administrator! This role will involve supporting the North American legal team but will also involve liaising with the International team, as well as businesspeople throughout the company.  The work includes all levels of paralegal assignments as well as Legal Operations functions in a dynamic, professional environment. Job Description: Draft, review and negotiate as directed various types of agreements (e.g., non-disclosure, client services, amendments, intercompany, SOWs) and interacting with the lawyers of the Legal Department to effectively address requested changes to agreements. Assist clients of the Legal Department, including the Sales, Finance, Account Management, HR, Tax, Privacy and Risk...

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. About the Role We are seeking a highly motivated Sales Associate to lead enterprise sales efforts in the defined contribution (DC) retirement plan industry. This role is focused on selling our innovative financial technology solutions (ijoin)  to large institutional customers, primarily retirement plan recordkeepers. The Sales Executive will develop opportunities, work with the product and business leaders to close engagements and play a key role in driving adoption of our platform across the retirement plan ecosystem. What You’ll Do Own and lead the end-to-end sales cycle for iJoin’s suite of solutions (software, data, reporting and analysis). Identify, qualify, scope, price lead contract negotiations with precision and professionalism. To close...

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 seeking a seasoned, highly organized Sr. Director, Data Governance to join our Data & Analytics organization. This person will partner across Legal, Data Governance (DUGC), AI Governance Team (AIGT), Risk, Sales and Delivery to move data use cases and contracts efficiently through evaluation, approval and execution. The role is critical to accelerating revenue‑producing requests and ensuring contract and data use compliance for organic growth and acquisitions. The Sr. Director, Data Governance will triage and advance Data Use Cases (AI, New Products, Data), coordinate contract lifecycle activities (including conversion and post‑acquisition audits), and drive timely resolution of contract redlines for large contracts. This role requires strong...

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. Broadridge Asset Management Solutions is seeking a Senior Director, Product Manager to join our growing BAMS Product team. The Sr. Director will manage the development, implementation and support processes for asset management products, specifically solutions used by Private Debt and CLO managers.  The position requires cross functional teamwork with our sales, services, operations, technology, legal, marketing, and product groups. This includes client interactions and touch points with potential partners in fintech. The ideal candidate will have experience working for a financial or technology organization, with strong attention to detail and communication skills. Responsibilities: Responsible for leading and/or supporting several key projects...

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. Position Description: We are looking for a high energy, driven Sales professional whose ability to develop and maintain key client relationships will contribute directly to our growth objectives. Ours is a client-centric culture that develops long term partnerships with our clients to solve their most pressing business needs. We have a full solution of technology applications and services that enable our clients to focus on their core business, leverage data and analytics to better run them and communicate dynamically with their clients. You will be part of a highly collaborative team in delivering these solutions that includes Sales, Product Specialists, Sales Engineers, and Service teams. Through organic and acquisitive growth you will continue to have...

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 seeking a strategic and innovative leader to serve as Head of our Retirement and Workplace Business. This executive role will be responsible for establishing and refining our long-term strategy across current and prospective addressable markets, while ensuring strategic vision translates into actionable product development and execution. The ideal candidate will have deep financial services expertise, champion client satisfaction while identifying and capitalizing on new growth opportunities in the retirement space. Additionally, experience in digital transformation and innovation would be needed to enhance our offerings, reduce industry costs, and empower our clients' retirement business growth. Key Responsibilities Strategic Leadership...

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. The Account Executive is a results-driven sales professional responsible for acquiring new Corporate Issuer clients for Broadridge’s Issuer Solutions business. This front-line “hunter” role focuses exclusively on new client acquisition — identifying, qualifying, and closing opportunities across our suite of capabilities, including Registered Shareholder Annual Meeting Services, Financial Print and SEC filing solutions, Transfer Agency Recordkeeping Services, and Corporate Sustainability (ESG) data archival, analysis, and reporting services. The ideal candidate brings a proven track record of selling complex business to business solutions to public companies, private companies and law firms, demonstrates exceptional prospecting discipline, and thrives in a...

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. Broadridge is seeking a dynamic Sales Director to drive growth for our Fi360 solutions across the Retirement and Wealth market. This is a high-impact role focused on selling enterprise software, data, analytics, and designation training to large retirement-focused firms. You will serve as a trusted advisor to clients, helping them unlock advisor visibility, streamline compensation models, and power growth through better insights. What You’ll Do Own and lead the end-to-end sales cycle for Fi360’s suite of solutions (software, data tools, learning & designation products). Identify, qualify, and close new business opportunities within both new and existing accounts. Present to C-level executives, develop proposals, and lead contract negotiations with...

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 seeking a strategic, results-oriented product leader to oversee and advance the institutional products that Broadridge offers. The role requires the product manager to have decision-making authority over the development and direction of products available to our institutional and retail clients. Ideally, someone with deep knowledge of investment stewardship operations and proxy voting processes who can shape our product roadmap to align with our institutional client needs.    Reporting to the Head of Product Management team, the VP of Product Management will play a key role in bringing our product vision and strategy to life in the form of results, managing the product roadmap, and working across functional teams (sales, service, operations,...

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. The Manager, Corporate Segment Controllership will play a key role in the Global Accounting Operations Organization at Broadridge. The role will report into the Senior Director, Corporate Segment Controllership and will work closely with the various Controllership teams as well as teams across FP&A, Shared Services, Treasury, Technology, HR, Sales & Marketing, Legal, as well as other areas across the business. This position will have the unique opportunity to help build the Corporate Segment Controllership function from the ground up and will need to be able to multi-task and coordinate with various teams to transition work as deemed appropriate by the Senior Director, Corporate Segment Controllership and the VP, Accounting Operations Controller....