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+1 800 353 0103	North America
+442075513000	EMEA
+65 6438 1144	APAC

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+1 800 353 0103	North America
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+1 800 353 0103	Amérique du Nord
+1 905 470 2000	Canada Markham
+1 416 350 0999	Canada Toronto

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+1 800 353 0103	Amérique du Nord
+1 905 470 2000	Canada Markham
+1 416 350 0999	Canada Toronto

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.

FINRA-regulated Broker-Dealer

Follow-the-sun Global Business Operations

Real-time Business Continuity

Customizable Library of 30+ Complex Services

Intelligent Technology and Process Innovation

Best-in-Class Client Service and Advocacy

Tap into Our Global Library of 30+ Operational Functions for Additional Workload Support

As a leading FINRA-regulated brokerage operations service provider in North America, we offer post-trade processing for business as usual or on demand across multiple geographies, asset classes, and currencies.

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

See Product Specifications

How We Can Help