Director - Operations Control (hybrid)

Responsibilities

• Direct daily reconciliation and operations control activities across assigned clients, accounts, products, and processes, ensuring delivery against service-level agreements and contractual requirements.
• Establish clear ownership, review standards, and escalation thresholds for reconciliations, account breaks, exception queues, and aged or high-risk items.
• Oversee control reporting and management information, including completeness, timeliness, accuracy, exception aging, trends, and remediation progress.
• Ensure material breaks, missed deadlines, and control failures are escalated promptly, assessed for client and operational impact, and resolved with documented corrective actions.
• Lead root-cause analysis of recurring issues; strengthen preventive and detective controls, and verify that remediation is effective.
• Maintain audit-ready evidence, standard operating procedures, control inventories, issue logs, and process documentation. Support internal and external audits and applicable regulatory inquiries.
• Manage capacity, coverage, and contingency plans for volume changes, critical deadlines, absences, and business continuity events.
• Hire, coach, and develop managers and specialists; set performance expectations and build succession plans and a culture of accountability.
• Own operational KPIs and governance reporting, and communicate control health, service performance, emerging risks, and improvement plans to senior leaders and clients.
• Partner with technology, risk, compliance, quality, and client teams on incidents, change management, automation, and process improvement, including appropriate testing and control validation.
• Provide control oversight during client onboarding, transitions, migrations, and process changes, including knowledge transfer, readiness assessment, and post-implementation stabilization.

Qualifications

• Bachelor’s degree in business, finance, accounting, operations, or a related field, or equivalent professional experience; an advanced degree or relevant certification is a plus.
• Masters degree or advanced certifications are a plus (Series 99, 7 etc)
• Significant experience leading reconciliation, operations control, or related financial-services operations, including teams, complex exceptions, and high-volume workflows.
• Strong knowledge of account balancing, break investigation, operational risk, internal controls, audit readiness, and issue remediation.
• Experience managing delivery against service-level agreements, quality standards, KPIs, and client commitments.
• Sound judgment and strong analytical, problem-solving, communication, and stakeholder-management skills.
• Advanced Excel skills and experience with reconciliation, workflow, or reporting tools; experience with IntelliMatch is a plus.
• Experience in brokerage, banking, payments, outsourced operations, or multi-client shared services is a plus, as is familiarity with applicable SEC and FINRA requirements.
• Experience supporting global operations, process transitions, automation, or transformation initiatives is a plus.
• Knowledge of Broadridge platforms such as BPS, IMPACT, Proactive, or PostEdge is a plus.
• This positions requires 2x a week in the Newark, NJ office

Compensation Range

The salary range for this position is between $165,000- 180,000 USD. Broadridge considers various factors when evaluating a candidate's final salary including, but not limited to, relevant experience, location, skills, international locations and education.

Bonus Eligibility: Bonus Eligible

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.

US applicants: Click here to view the EEOC "Know Your Rights" poster.