Vice President of Risk Management & Operations Controls

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 Vice President of Risk Management and Operations Controls. You will have the opportunity to work with a dynamic team and lead strategic initiatives and streamline processes.  Join us as we drive innovation and resilience ensuring the company thrives in an ever-evolving landscape!

Responsibilities:

• Risk Management

  • Develop, implement, and maintain an integrated risk management framework for operational risk across the organization.

    • Identify and assess major operational risks and their potential impact on the organization.

    • Work closely with department leaders to design and implement risk mitigation strategies and action plans.

    • Conduct regular risk assessments and audits to ensure compliance with policies, procedures, and regulations.

  • Chief liaison for BPO audits (internal and external) along with coordination of SOC I audit

  • Establish key risk indicators (KRIs) and regularly report on risk exposure and status to senior management.

  • Foster a culture of risk awareness and compliance throughout the organization through training and communication initiatives.(globally)

  • Engage with global risk function to drive risk initiatives including propagation and enhancement of BPO risk framework.

    • Assist global risk with strategic initiatives (i:e dashboards enhancements)

    • Participate in the Risk and Compliance meetings

    • BPO Monthly Error compilation/reporting, including:

      • Producing monthly report that captures all incidents.

      • Tracking all financial liabilities and clients E&O

      • Providing feedback on trends/themes relative to Clients and Dept’s

    • Coordinating Dept. RCSA documents

    • New Client Risk Assessments

    • Assessments of new business added for existing clients.

    • Managing Risk Hot Topics until completion

    • Managing Industry related Risk events, ensuring all departments are prepared (Eg. Debt Ceiling changes, Interest rate changes etc)

    • Working with BPO Department on Industry related market volatility

  • Stay up to date with industry trends and regulatory changes to ensure the company remains compliant and competitive.

• Ops Control –

  • Ensure compliance with all relevant regulatory requirements, such as FINRA, SEC and other governing bodies

  • Liaise with internal compliance teams to ensure that all operations align with current regulatory standards

  • Foster relationships with BPO Global/India functional heads and client supervisory teams, to facilitate and ensure timely resolution of operational items and top-tier client experience

  • Oversee the exceptions of settlement date + 1 discrepancies and ensure they are managed within agreed timelines

  • Regularly assess and improve operational workflows and internal controls

  • Identify areas for automation to reduce manual work and improve accuracy

  • Ensure clients books and records are balanced and any exceptions are escalated and resolved timely

  • Management of Operational teams

    • Lead, train and mentor operations control staff, ensuring they are aligned with organizational goals

    • Set performance objectives, conduct evaluations and provide regular feedback

    • Foster a culture of accountability and continuous improvement within the Operations teams

  • Reporting and Communication

  • Produce regular reports on operational control metrics, incidents and risk status for senior mgmt.

  • Communicate with auditors, regulators and other external stakeholders on control and risk mgmt. issues

Qualifications:

• Bachelor’s or Graduate’s Degree in Finance, Economics, Business or equivalent experience.

• Masters degree or advanced certifications are a plus (Series 99, 7 etc)

• 10 years of experience in a risk mgmt. within a financial services or broker dealer environment

• Experience with regulatory agencies such as FINRA, SEC

• Excellent analytical, problem-solving, and decision-making skills,

• Exceptional communication and interpersonal skills, with a proven ability to lead teams and engage with senior management and cross-functional stakeholders.

• Strong organizational skills, capable of managing multiple initiatives simultaneously in a complex Ops environment.

• Ability to work well under pressure while solving complex problems.

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

#LI-PP1

Broadridge associates helped us envision our Connected Workplace - a work model that allows associates around the globe, dependent upon their role responsibilities, to take advantage of the benefits of both on-site and off-site work to support our clients, one another, and the communities where we live and work. Our Connected Workplace is grounded in the concept of FACS: Flexible, Accountable, Connected, and Supported, which is our commitment to our associates. FACS supports our strong culture and allows us to achieve business goals while supporting meaningful work-life integration for our associates.

We are dedicated to fostering a diverse, equitable, and inclusive environment and committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates can only 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 diversity in all its dimensions.

Disability Assistance

We recognize that ensuring our long-term success means creating an environment where everyone is welcome, where everyone’s strengths are valued, and where everyone can perform at their best. Broadridge provides equal employment opportunities to all associates and applicants for employment without regard to race, color, religion, sex (including sexual orientation, gender identity or expression, and pregnancy), marital status, national origin, ethnic origin, age, disability, genetic information, military or veteran status, and other protected characteristics protected by applicable federal, state, or local laws. US applicants: Click here to view the "EEO is the Law" poster.

If you need assistance or would like to request reasonable accommodations during the application and/or hiring process, please contact us at 888-237-7769 or by sending an email to [email protected].