Lead 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.

**Job Description**:
The Lead Risk & Compliance Analyst will play a key role in providing guidance and assistance to internal clients regarding regulatory and company compliance requirements and other matters pertaining to health and safety, and business continuity.
- Key Job Functions/Responsibilities
- Audits and Ancillary Functions
- Provide support in maintaining a strong internal controls environment for external, regulatory or contractual requirements across several business functions - audit, information security, physical security, business continuity, and health and safety.- Provide single point of contact for the business unit and coordinate / facilitate resources and participation with internal and external assessments / audits such as:- SOC 1 and SOC 2-
- ISO 27001-
- PCI DSS Canada / United States-
- Corporate Audit-
- Client Audits-
- Support leading business unit’s internal resources for contribution and participation in internal, external and client, insurance, environment, physical security, health and safety assessments/audits.-
- Assist in developing and designing recommendations and solutions for assessment-audit process improvements. Champion new practices and procedures to streamline processes and reduce resource allocation in supporting assessments and audits.- Risk Management- Responsible for the coordination and facilitation of identifying and documenting key enterprise risks across the ICS business units. Manage assessment and feedback from organization representatives and consolidate risk results in corporate Enterprise Risk Management (ERM) package for presentation to the corporation’s Risk Committee/executive board.-
- Deploy and facilitate effective processes to implement ERM methodologies and awareness throughout the organization. Identify and escalate as appropriate key risk areas to senior management with alternatives/opportunities to effectively mitigate the risk.-
- Champion Mitigation controls and monitor/measure/report mitigation effectiveness in alignment with corporate ERM processes and guidelinesResponsible for Application Vulnerability management controls and required to ensure the business unit’s compliance with Broadridge Information Security and industry standards. Subject to Federal reviews and audits regarding compliance requirements.-
- Key partner between Information Security Governance, Risk & Compliance, and business unit-
- Support regulatory directives respective to Personal Information Protection and Electronic Documents Act (PIPEDA) and General Data Protection Regulation (GDPR)-
- Institute key oversight controls for emerging products (Tax Services, Class Actions) respective to SOC 1 and internal audits-
- Responsible for oversight and risk mitigation for facility physical security, key partner for Physical Security business unit.-
- Responsible for risk mitigation of contractual and compliance requirements for business continuity / disaster recovery.-
- Key partner with Sales to mitigate risks related to new contractual obligations pertaining to risk, control and compliance protocols.- Business Continuity- As the ICS and BRCC Business Continuity Champion, manage BCM to ensure preparedness and continuity of mission critical and operational functions. Provide direction and develop strategic plans related to emergency, pandemic, crisis, incident and disaster recovery preparedness and response. Communicate and interact effectively with staff and senior management-
- Develop and maintain BCM policy and standards, governance framework, business continuity plans, escalation list, BCP roles and responsibilities and BCP methodology guidelines. Ensure BCM meets legal, regulatory, and contractual requirements-
- Lead the development and maintenance of an effective business impact analysis and risk assessment process-
- Provide guidance and work closely with business unit leaders to provide a framework for the establishment and/or maintenance of their business unit specific business recovery documentation and testing-
- Collaborate with business units to develop, update, enhance and monitor business continuity plans and procedures. Recommend the development of new business continuity plans and procedures whenever major changes occur to the business area and organization-
- Develop incident response/crisis management roles and responsibilities, procedures, training and exercises for executive team-
- Develop and conduct exercises to ensure all BCP Team members are trained to fulfill specific business continuity responsibilities. Evaluate test results and take follow-up action if required. Provide updates, feedback and reports to senior management and other key stakeholders.-
- Manage and report on the status of initiatives/projects and ensure