Manager, Senior Manager – Financial Crime Compliance Testing

Broadridge

. Plan and execute risk-based testing and quality assurance reviews across financial crime compliance controls, including AML and sanctions .

Posted 11/5/2026full-timeToronto • CanadaSeniorWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in AML and sanctions compliance testing, with a strong focus on evaluating control effectiveness and preparing audit-ready documentation. Capable of managing review activities and communicating findings effectively to stakeholders.

Highest-signal resume keywords

AML Compliance TestingFinancial Crime Risk ManagementControl Effectiveness EvaluationAudit-Ready ReportingRemediation Tracking

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk-Based TestingControl Design AssessmentTest Documentation PreparationAnalytical SkillsControl Weakness Identification

Soft Skills

Attention to DetailClear CommunicationOrganizational SkillsProfessional Judgment

Certifications & Qualifications

Compliance CertificationFinancial Crime CertificationRisk Management CertificationInternal Audit Certification

Industry Keywords

Financial ServicesComplianceInternal AuditRisk FrameworksSanctions

About the role

Key responsibilities & impact

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 explaining scope, methodology, evidence, results, and recommended actions
Discuss findings with business and compliance stakeholders, validate factual accuracy, and support timely resolution of questions
Track remediation commitments and assess whether corrective actions adequately address identified issues
Summarize themes and trends to help stakeholders strengthen financial crime risk management and control performance
Manage review activities and deliverables, coordinating with relevant partners to keep work on schedule

Requirements

What you’ll need

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

Benefits

Comp & perks

Collaborative, engaging, and inclusive work environment
Workplace that empowers associates to be authentic and bring their best to work
Supportive environment where associates feel safe, understood, and valued