Vice President, Product Management, Compliance & Surveillance (JR1023509) - Newark - job 636665


Date: 02/23/2021

City: Newark, New Jersey

Employment type: Full-time

Company Description

Broadridge Financial Solutions, Inc. (BR), a $4 billion global Fintech leader and part of the S&P 500® Index, is a leading provider of investor communications and technology-driven solutions to banks, broker-dealers, asset and wealth managers and corporate issuers. At Broadridge, we do well by doing good. Our unique culture is guided by the Service-Profit Chain—the idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation of stockholder value. We enable better financial lives by powering investing, governance, and communications for our clients, their customers, and the financial services industry.

Job Description

As a member of the Wealth Product Management COE, you will be a key leader focused on the Governance, Risk and Compliance (GRC) Product Management Team.   This role will be responsible for creating and executing the strategy and product roadmaps (leveraging best practices) in relation to the compliance & surveillance industry solutions.  As the product owner of this new strategic solution set, you will be responsible for creating, influencing, aligning and executing product strategies, user stories and the successful launch of solutions in collaboration with our business and best in class vendor partners focused on GRC.   The GRC solution set is a strategic focus area in support of the Broadridge Wealth Platform – industry level best-in-class set of technology solutions. The platform enables Wealth Markets firms to drive their business to the next level while mutualizing investments in technology, innovation and transforming operations.   Collaborating with your internal business, development, technology and third-party partners will drive the successful launch and continuous evolution of the wealth platform. 


Over the past few years Broadridge has enjoyed revenue growth across products and geographies with a renewed focus on our Wealth Management Solution and we are looking to accelerate this growth and modernize /transform our products procedures and organization.

Key Responsibilities Include:

  • Creating and expanding competitive wealth related compliance capabilities to be leveraged by advisors and head office, branch and operations staff

  • Understanding the related marketplace, the product or product line, competitors (traditional & nontraditional), gathering voice of the client / prospects to ensure functional competitiveness and ‘being innovative’ to transform our industry and product offering

  • Creating, executing and maintaining strategic product roadmaps which support the successful industry adaption of our Governance, Risk and Compliance capabilities leveraging Broadridge, client and third party best in class solutions

  • Collaboration with finance, marketing, development, technology and QA partners to ensure a successful, profitable product line

  • Expanding our integration partner network to broaden our wealth capability offering and data set in collaboration with business, technology, QA, solutions, sales and marketing to increase sales and Professional Service revenue as well as increasing brand awareness

  • Focusing on delivering superior client experiences while enabling clients to mitigate data risk

  • Working with and influencing our business/technology partners and enterprise product management to ensure product alignment and a consistent client service experience.

  • Building strong collaborative relationships with internal and external partners in order to achieve financial and strategic goals of the North American Wealth business

  • Understanding revenue and expense management for your product set in terms of delivering new products and services

  • Being a thought leadership in the wealth industry – focusing on compliance and surveillance; Documenting collateral content, FAQs, presentation content and white papers

  • Driving regular reporting to provide transparency into strategy, product roadmap, timelines and financials

  • Strong and compelling communication including being ambitious, proactive, collaborative, transparent and utilizing new communication media



  • Strong Governance, Risk, Compliance and Surveillance product management expertise related wealth; client or industry vendor experience an asset

  • Bachelor’s degree

  • A minimum of 10 years Wealth Management experience or related field is required. Knowledge of financial services, securities processing, asset management industry is preferred

  • Experience in product management, best-of-breed wealth solutions, technologies and digital best practices

  • Management expertise

  • Hands-on experience creating strategy and business cases related to product management

  • Experience and aptitude presenting strategies and solutions to senior executives, technology partners, and key stakeholders

  • Ability to multi-task and work efficiently under pressure with careful attention to detail

  • Outstanding ability to think creatively and innovatively

  • Motivated self-starter who is able to collaborate

  • Team player with solid interpersonal skills, and the ability to deliver effective oral and written communications

  • Ability to adapt and thrive in a fast-paced, changing environment

  • Experience working in a global, cross-functional team is a plus



Additional Information

Broadridge is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability, age or any other protected status.
"Everyone Benefits from Diversity & Inclusion.
Diverse & Inclusive Teams Drive Growth."
US applicants: Click here to view the "EEO is the Law" poster.
If you are a qualified individual with a disability or a disabled veteran, you may request a reasonable accommodation in the event you are unable or limited in your ability to use or access the Company’s career webpage as a result of your disability. You may request a reasonable accommodation(s) by calling 888-237-7769 or by sending an email to [email protected]

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