Broadridge Canada | Manager / Senior Manager, Financial Crime Compliance Testing (CONTRACT)

Key responsibilities

• If you’re passionate about developing your career, while helping others along the way, come join the Broadridge team.
• 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.
• 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.
• 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.
• 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.
• Track remediation commitments and assess whether corrective actions adequately address identified issues.
• Manage review activities and deliverables, coordinating with relevant partners to keep work on schedule.

Requirements

• 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.
• 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.

Broadridge Canada

Broadridge Canada is an employer hiring in India. In its own words: "Broadridge, a global technology leader with solutions that power investing, governance, and communications for clients and the financial industry."

Its finance, accounts, audit and tax openings in India are mostly in Toronto.