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About Broadridge

North American Post-Trade Business Process Outsourcing

Transform Brokerage Operations for Scalable Growth and Efficiency

Our team of tenured operations professionals leverage world-class processes and next-gen technologies to help optimize your operating model.  From business as usual to on-demand support, our post-trade operations outsourcing helps you increase efficiency, manage risk, and maintain regulatory compliance across the account and trade life cycle.

Streamline Your Operations To Support Growth While Improving Oversight

Our award-winning business process outsourcing combines leading technology with deep operations expertise in post-trade processing and a mature governance and control framework to help you mutualize costs, gain transparency, mitigate risk, and increase operational efficiency.

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FINRA-regulated Broker-Dealer
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Follow-the-sun Global Business Operations
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Real-time Business Continuity
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Customizable Library of 30+ Complex Services
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Intelligent Technology and Process Innovation
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Best-in-Class Client Service and Advocacy

Learn More About Our Operating Functions

Purchase, Sales, and Options

  • Trade break notification and street side clean up
  • Reconcile OTC, regional and listed exchanges
  • Process daily and monthly expirations
  • Monitor CMTA activity

Global Clearance and Settlement

  • DTCC settlement / CDS Settlements
  • Government settlements 
  • International settlements
  • Fail control and exception management

Asset Servicing

  • Conversion (voluntary and mandatory Corporate Actions)
  • Event announcement capture
  • Dividends processing
  • Principal and interest processing

Account Services

  • Account opening and maintenance
  • Regulatory requirement validation
  • ACAT/ATON processing
  • Claims management

Risk and Control

  • Balancing and reconciliations
  • Operational risk management
  • Fail confirmations    
  • Segregation deficit reporting

Financing and Collateral Management

  • Regulatory restrictions
  • Margin account surveillance
  • Pledge collateral    
  • Wire processing

Tax and Cost Basis

  • IMY processing
  • TEFRA and NRA reconciliation    
  • Tax lot accounting
  • CBRS monitoring and support

Compliance and Regulatory Reporting

  • 15c3 and FOCUS preparation
  • Aged deficit reporting
  • General ledger validation
  • Anti-money laundering and OFAC monitoring and escalation

Real-time Business Continuity

  • Transparent service model into SLAs, metrics, and dashboards
  • Always-on, hot locations around the globe
  • On-demand process support
  • Disaster recovery planning and support

FINRA-regulated Broker-Dealer

  • Mature governance model and control framework scrutinized by FINRA built to oversee day-to-day operational support and new client business
  • Customizable transition methodology and execution capabilities
  • Risk sharing and accountability through outcomes- based pricing model
  • 40+ years of experience combined with our market-leading front, middle and post-trade processing technology

Technology and Process Innovation

  • Robotic Process Automation (RPA) to industrialize manual processing, mitigate risk, enhance client experience, and increase efficiency
  • Machine learning and artificial Intelligence Solutions for prescriptive analytics and decision-making
  • Real-time risk management solutions to assist teams in monitoring risk thresholds and key risk indicators
  • Smart workflow solutions combining digital labor with human labor to streamline processing and reporting

Best-in-class client service and advocacy

  • Operations leaders acquired from leading capital markets firms representing 75% of client base
  • Subject matter experts with 150 industry registrations
  • Client advocacy from operations experts across 30+ industry committees
How We Can Help

Leading technology and award-winning operations

Markets for global clearance and settlement support
of options processed daily on the OCC
Six-time winner of Waters Technology “Best Outsourcing Provider to the Sell Side” 2016-2021

Let’s talk about
what’s next for you

Our representatives and specialists are ready with the solutions you need to advance your business.