Manager / Senior Manager, Financial Crime Compliance Testing

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 seeking a Senior Manager to support financial crime compliance testing and quality assurance across anti-money laundering (AML), sanctions, and related compliance programs. In this role, you will assess whether controls are appropriately designed and operating effectively, identify gaps and emerging risks, and communicate clear, evidence-based findings to stakeholders. The successful candidate brings hands-on experience in compliance testing, monitoring, or internal audit, along with the judgment to turn test results into practical recommendations and audit-ready reporting.Key Responsibilities
Plan and execute risk-based testing and quality assurance reviews across financial crime compliance controls, including AML and sanctions.Assess control design and operating effectiveness against applicable requirements, internal policies, procedures, and risk frameworks.Develop or refine test objectives, procedures, sampling approaches, evidence requests, and documentation standards.Review records, process documentation, and other supporting evidence;
document work clearly enough to support independent review.Identify control weaknesses, coverage gaps, recurring issues, and potential root causes;
evaluate the significance of findings.Prepare concise, audit-ready reports that explain the scope, methodology, evidence, results, and recommended actions.Discuss findings with business and compliance stakeholders, validate factual accuracy, and support timely resolution of questions.Track remediation commitments and assess whether corrective actions adequately address identified issues.Summarize themes and trends to help stakeholders strengthen financial crime risk management and control performance.Manage review activities and deliverables, coordinating with relevant partners to keep work on schedule.Required Qualifications and Experience
Proven experience conducting AML or sanctions compliance testing, monitoring, or internal audits.Solid understanding of financial crime risk management frameworks and the role of controls in mitigating risk.Demonstrated ability to evaluate control effectiveness, identify coverage gaps, and assess the significance of issues.Experience preparing clear, well-supported test documentation and audit-ready reports.Strong analytical skills, attention to detail, and sound professional judgment.Clear written and verbal communication skills, including the ability to explain findings to varied stakeholders.Ability to organize multiple review activities and meet agreed deadlines.Preferred Qualifications
Experience working across compliance, risk, audit, or financial services environments.Relevant professional certification or training in compliance, financial crime, risk management, or internal audit.Experience supporting remediation tracking or assessing corrective actions.Experience leading review work or coordinating the contributions of other team members, particularly for Senior Manager-level candidates.#LI-MR1 #LI-HybridWe are dedicated to fostering a collaborative, engaging, and inclusive environment and are committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates 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 everyone’s unique perspective.Use of AI in Hiring
As part of the recruiting process, Broadridge may use technology, including artificial intelligence (AI)-based tools, to help review and evaluate applications. These tools are used only to support our recruiters and hiring managers, and all employment decisions include human review to ensure fairness, accuracy, and compliance with applicable laws. Please note that honesty and transparency are critical to our hiring process. Any attempt to falsify, misrepresent, or disguise information in an application, resume, assessment, or interview will result in disqualification from consideration.Broadridge Financial Solutions (NYSE: BR) is a global technology leader with trusted expertise and transformative technology, helping clients and the financial services industry operate, innovate, and grow. We power investing, governance, and communications for our clients – driving operational resiliency, elevating business performance, and transforming investor experiences. Our technology and operations platforms process and generate over 7 billion communications annually and underpin the daily average trading of over $15 trillion in equities, fixed income, and other securities globally. A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 15,000 associates in 21 countries.LinkedIn Facebook Instagram Twitter YouTube Glassdoor The MuseBroadridge is committed to creating an engaging workplace for the most talented associates in our industry. We are dedicated to fostering a collaborative, inclusive, and healthy environment that promotes flexibility and accountability. 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. We believe that our associates are our most important asset. 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 hybrid working 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.
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