The posting
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 Manager / Senior Manager to lead Business-as-Usual (BAU) Know Your Customer (KYC) operations. The successful candidate will oversee KYC investigations, remediation and periodic reviews, ensuring work is completed accurately and in line with applicable AML/KYC requirements, internal procedures and service expectations.
This role will manage operational workflows and high-volume investigation queues, support effective issue resolution, and promote consistent quality and productivity across the team.
Key responsibilities:
• Lead day-to-day BAU KYC operations, including remediation and periodic review activities.
• Oversee investigation queues, work allocation, prioritization and progress against applicable service levels.
• Guide the review and resolution of customer files, including the identification of missing, inconsistent or higher-risk information.
• Ensure customer due diligence (CDD) and enhanced due diligence (EDD) activities are completed in accordance with regulatory requirements and internal policies.
• Monitor operational performance, quality and capacity; identify bottlenecks and recommend process improvements.
• Escalate complex cases, control concerns, risks and potential policy or regulatory issues through the appropriate channels.
• Provide coaching, guidance and practical support to team members; reinforce consistent procedures and sound case documentation.
• Partner with relevant stakeholders to resolve case issues, address dependencies and support timely completion of reviews.
• Maintain clear, accurate records of case decisions, escalations and operational activities.
• Support management reporting on queue health, productivity, quality and outstanding issues.
Required qualifications and experience:
• Experience handling end-to-end BAU KYC remediation and periodic reviews.
• Deep understanding of AML/KYC regulatory requirements and customer due diligence (CDD/EDD) processes.
• Experience managing operational workflows and high-volume investigation queues.
• Ability to assess customer information, identify gaps or inconsistencies, and determine when further review or escalation is needed.
• Strong organizational skills, including the ability to prioritize work and manage competing deadlines.
• Clear written and verbal communication skills, with the ability to document decisions and explain issues to stakeholders.
• Sound judgment, attention to detail and a commitment to handling customer information responsibly.
Preferred qualifications
• Prior experience leading or supervising a KYC operations team.
• Experience improving operational processes, quality controls or queue management practices.
• Relevant AML, KYC or financial-crime compliance training or certification.
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We 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.
