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 youre passionate about developing your career, while helping others along the way, come join the Broadridge team. Broadridge is hiring! Were 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 Depts 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 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 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 companyand ultimately a communitythat 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: Clickhere ( 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 or by sending an email to . Broadridge Financial Solutions, Inc. (NYSE: BR) , is a global Fintech leader, delivering technology-driven solutions that drive digital transformation for banks, broker-dealers, asset and wealth managers and public companies. At Broadridge, we are committed to making a difference ( . Our unique culture is guided by the Service-Profit Chainthe idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation of stockholder value. We enable better financial lives by providing the critical infrastructure that powers investing, corporate governance and communications . A certified Great Place to Work, Broadridge is part of the S&P 500 Index, employing over 14,000 associates in 21 countries. Hear from our associates how Broadridge has maintained its culture since the shift to a remote and hybrid working model. LinkedIn ( Facebook Instagram ( Twitter YouTube ( Glassdoor The Muse ( Broadridge is committed to creating an engaging workplace for the most talented associates in our industry. On and off-site working provides flexibility by balancing the needs of our clients, teams, and associates. Our Connected Workplace is grounded in the following concepts: Flexible, Accountable, Connected, and Supported. This approach allows us to achieve business goals while supporting meaningful work-life integration for our associates. Broadridges high-performance teams thrive in a culture based on trust and mutual respect that emphasizes outcomesrather than how, when, and where work is done. We are dedicated to fostering a diverse, equitable, inclusive, and healthy environment. As a leading provider of technology, communications, and data and analytics solutions to businesses around the world, it is critical that we understand, embrace, and operate in a multicultural environment. Every associate has unique strengths, which, when fully appreciated and embraced, allow individuals to perform at their best, leading to our success. Our goal is to ensure our associates at every level of the organization represent the diversity of the clients we serve and the communities in which we work. We pursue both top-down and bottom-up approaches to advancing diversity, equity, and inclusion initiatives and values into our culture. This is reflected in the varying backgrounds of our over 14,000 associates working in 21 countries around the globe. Learn about our DEI Program here ( . We believe that our associates are among our most important assets. Encouraging professional development opportunities is a core part of our culture. Broadridge provides educational opportunities, including formal classes, training programs and events. To enable learning in our Connected Workplace where associates may be working on-site, off-site, or using a hybrid model, Broadridge has redesigned all development programs for 100% virtual delivery. Our associates have access to 8,500+ online courses covering business, leadership, technical, and function-specific topics through our LinkedIn Learning program.

Created: 2024-11-12