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About

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Risk Analytics, Risk Analytics

Doug Gifford

Vice President, Risk and Control, Broadridge

Doug Gifford is a Vice President on the Risk and Control team in Broadridge’s Global Technology & Operations (GTO) division. He joined the firm in 2014 and has over 43 years of experience in the securities industry. Doug is a recognized industry expert on regulatory change, with in-depth knowledge of North American Capital Markets and Wealth compliance challenges. In his current role, Doug is responsible for tracking and implementing key industry change initiatives.

Before joining Broadridge, he held several compliance and management roles with Merrill Lynch. He previously held FINRA Series 4, 7, 8, 24, and 63 licenses.

Doug received a Bachelor of Science in Economics from the Georgia Institute of Technology.

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