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Broadridge · 1 day ago

Transfer Agent Fraud Data Analyst (Hybrid)

Edgewood, NY

Full-time

Hybrid

Entry, Mid Level

$70K/yr - $90K/yr

3+ years exp

Broadridge is a company dedicated to empowering others and is currently seeking a Data Analyst specializing in Transfer Agent and Fraud. The role involves conducting internal reviews, audits, and investigations to ensure compliance with policies and regulatory requirements, while also assessing risks and developing mitigation strategies.

BankingCrowdfundingEnterprise SoftwareFinanceFinancial ServicesInformation TechnologyOutsourcingSoftwareVenture Capital

Responsibilities

Conduct periodic internal audits and risk assessments to ensure compliance with internal policies and external regulations

Lead or support investigations into compliance or fraud-related issues

Develop, implement, and manage risk management processes to identify, monitor, and mitigate business and information security risks

Maintain internal control documentation and ensure alignment with company standards and external requirements

Analyze operational and transactional data to identify trends, anomalies, and potential fraud risks within transfer agency processes

Develop and maintain dashboards, data monitors, and fraud alert thresholds to detect emerging risks and reduce false positives

Conduct root cause analyses on data irregularities and recommend process improvements to prevent future occurrences

Collaborate with internal technology teams and external vendors to strengthen verification processes and support audit readiness

Create data visualizations and management reports to communicate key fraud metrics, emerging threats, and audit results

Support automation of data collection and risk reporting processes to improve efficiency and accuracy

Provide training and awareness sessions on fraud prevention and red-flag indicators

Communicate with shareholders or issuers regarding data inconsistencies, account safeguards, and fraud mitigation efforts

Participate in client meetings and quarterly business reviews to educate clients on emerging fraud schemes and protective measures

Qualification

Data AnalysisFraud Risk ManagementData VisualizationCustomer ServiceEquity Transfer OperationsCompliance AuditingRoot Cause AnalysisTrainingAwarenessCommunication SkillsCollaboration

Required

Bachelor's degree or equivalent work experience

Experience in financial fraud risk management or data governance

At least 1 year of data visualization experience (e.g., Power BI, Access)

Minimum of 3 years of direct customer service experience

Preferred

Prior experience with equity transfer agency operations

Benefits

Bonus Eligible

All Colorado employees receive paid sick leave in compliance with the Colorado Healthy Families and Workplaces Act and other legally required benefits, as applicable.