Imaging and Workflow Solutions

New Account Processing/Imaging & Workflow Software – Save time and cost over manual work methods.

Imaging and Workflow is one of several automated Broadridge services that offer a time saving and cost-efficient alternative to manual work methods. Our process is designed to adhere to SEC recordkeeping and record-retention rules (Rule 17a-3 and Rule 17a-4) and is unlike others offered in the industry that merely scan and archive document images. Broadridge incorporates workflow and legacy application integration to facilitate effective document review and system updating. Current mainframe applications such as document tracking systems and name and address files, as well as informational databases are seamlessly updated with critical time-sensitive data once document images are deemed accurate and complete.

Frequently applied to new account document processing, this service also has complete functionality to automate many other manual processing operations including stock plan administration, householding processing, retirement plan processing, ACAT processing, and margin account processing. Document duplication and handling by multiple points of contact is eliminated in our electronic model, significantly reducing the cost of the entire workflow. Other advantages that automation brings to this service include effortless tracking, convenient image retrieval from any Internet and, or, Intranet-connected desktop, On-Demand creation of personalized material, and the opportunity to focus critical human resources on other core business activities.

Workflow Processing Software Service Features

  • Complete processing operation includes document review and quality control
  • Automated document workflow processing
  • Electronic routing of document images between departments
    • New accounts department
    • Branch operations
    • Compliance, legal operations, IRA, Margin, ACAT departments
  • Centralized processing facility acts as:
    • Mailroom
    • Scanning and indexing operation
  • Ability to support distributed scanning environments
  • Image archival
    • Magnetic Disk
    • Optical
  • Interface with document tracking systems
    • Systems get updated upon receipt and approval of documents
  • Electronic document processing
    • Interface with existing electronic forms applications
    • Development and support of automated new account opening system to meet your unique requirements
  • Browser-based workflow
  • Browser-based retrieval of document images
  • Real-time management reporting system
    • Productivity tracking
    • Quality tracking
  • Interface with existing products and services
    • Fulfillment systems
    • Internal databases
    • Contact management applications

Key Benefits

  • Improved efficiency of document processing
    • Quicker turnaround of documents
    • Not susceptible to volume fluctuations
  • Significant reduction in client’s mailroom processing
  • Elimination of existing microfilm environment
  • Reduction in document storage costs
  • Improved cost control and containment
  • Fully scalable operation as volumes increase
  • Processing that adheres to regulatory requirements
  • Browser-based system eliminates costs associated with hardware and software
  • Security access can be integrated into existing security schemes

Optional Highlights

  • Location
    • 380,000 sq. feet Edgewood, N.Y. facility
    • Secure access into and out of building
  • Hours of Operation
    • 6 am to 8 pm Monday though Friday
    • Based on client needs, can be 7 days a week, 24 hours a day
  • Volumes
    • With virtually limitless capacity, processing 80,000 documents (upwards of 200,000 images) per day is the norm, not the exception
  • Document Recipt
    • Electronic
    • Facsimile
    • Hard Copy
      • US Postal Service
      • Overnight
      • Messenger Service
  • Regulatory Compliance
    • Images stored on WORM (write-once read-many) technology
    • Documents always available for reprint/representation
  • Document Security
    • Client definable system access protects client information
  • Application Service Provider (ASP) Environment
    • Complete hosting of hardware and system applications
    • Redundancy and backup methodologies 


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