Operational Risk Management

Broadridge’s Operational Risk Management Solution provides the capabilities for measuring, monitoring and mitigating operational risk. Using an extensive library of Key Risk Indicators (KRI’s) and industry best practices, we create a unique, market-leading basis for flexible risk reporting and management. This extensive reach permits use of standardized and custom KRI hierarchies in order to meet the wide variety of risk and compliance needs across an organization. 


  • Ability to compare current and historic risk levels
  • Ability to benchmark across all KRIs relevant to securities processing
  • Ability to identify the areas of greatest concern, and the areas to improve

KRI Library

  • Comprehensive and standardized library of operational risk KRIs relevant across the securities processing lifecycle
  • Data Mapping and extraction from core securities processing system
  • Data cleansing, exception and calculation
  • Provides the ability to select relevant KRIs for each user

Risk Alerts

  • Ability to proactively manage risk by being alerted to “red flag” items
  • Ability to customize parameters such as threshold and frequency of alerts
  • Reduces need to monitor dashboard constantly

Dashboard Technology

  • Eliminates the need for expensive and time-consuming internal build
  • Broadridge’s strong infrastructure is designed to ensure robust application environment and security
  • Sources content directly from core securities processing engine
  • Incorporates dashboard best practices

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