Post-Trade Processing Managed Services

Redefine your operating model for brokerage processing

Achieve scale and improved client engagement with our leading technology and operational expertise for the investment lifecycle.

Streamline your operations while improving oversight

Streamline your operations for exceptional advisor and investor experience.

FINRA Regulated Broker-Dealer

Outcome-Based SLA

Performance Transparency

Enterprise-Wide Monitoring

Real-Time Business Continuity

Support High-Volume Trades

Learn More About Our Operating Functions

Clearance and Settlement

Trade balancing/matching
Purchase and sales trade reconciliation
Post-trade date correction
Vault/safekeeping services
Settlement processing

Asset Servicing

Corporate actions and proxy processing
Margin processing
Tax processing and reporting
Security master/pricing maintenance
Retirement/mutual funds processing

Regulatory Reporting

Financial and Operational Combined Uniform Single (FOCUS) filing
Customer protection
Net capital calculation
Accounting/financial reporting
Standard transmissions to Self-Regulatory Organization (SRO)

Risk and Control

Risk management
Trade monitoring
Firm balancing and reconciliation
Books and records retention

Trade Allocation

Rules-based engine for blocking, modifications and allocations
Support all markets and fees
Integrate directly with industry utilities: OASYS, CTM and GETC

See Product Specifications

How We Can Help

Leading technology and proven operations

19M

Customer accounts supported by our managed services.

$600

Billion in client assets supported by our managed services.

Waters Technology names Broadridge Best Outsourcing Provider to the Sell Side 2016 and 2017.

Resource

Recent Insights from the Wealth Industry

Information and analysis to help strengthen client relationships and grow your business.

Wealth Management

White Paper

Celent Research: Utility Solutions in Capital Markets

Video

Transforming Brokerage's Business Operations

White Paper

Global Investing: Considerations for Building an End-to-End Solution

Video

Managing Risk at Brokerages

Video

Industry Transformation

Video

Making Brokerage Operations More Efficient

Photo: Telecom sales rep meets with a new customer, demonstrating electronic communications capabilities

Let’s talk about
what’s next for you

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

REQUEST INFORMATION

Want to see services available in Canada?

Want to see services available in Germany?

Want to see services available in EMEA / APAC?

Want to see services available in Japan?

22c-2 Compliance22c-2 Compliance

Advisor Resource CenterAdvisor Resource Center

Advisor WebsitesAdvisor Websites

Asset ServicingAsset Servicing

Bank Debt and Loan TradingBank Debt and Loan Trading

Beneficial Proxy ServicesBeneficial Proxy Services

Billing and Expense ManagementBilling and Expense Management

Cash ManagementCash Management

Collateral ManagementCollateral Management

Compliance and Regulatory Accounting Managed ServicesCompliance and Regulatory Accounting Managed Services

ConnectivityConnectivity

Consumer Preference and Profile ManagementConsumer Preference and Profile Management

Continuing EducationContinuing Education

Credit and Market RiskCredit and Market Risk

Data Management and ArchivalData Management and Archival

Data Management, Analytics and ReportingData Management, Analytics and Reporting

Derivatives Trade ProcessingDerivatives Trade Processing

Digital DeliveryDigital Delivery

Digital Experience ManagementDigital Experience Management

Direct MarketingDirect Marketing

Document CompositionDocument Composition

Equity Trade ProcessingEquity Trade Processing

Expense Management and Fee ValidationExpense Management and Fee Validation

Expense Management Managed ServicesExpense Management Managed Services

Fixed Income Trade ProcessingFixed Income Trade Processing

Foreign Exchange Trade ProcessingForeign Exchange Trade Processing

Global Post Trade ManagementGlobal Post Trade Management

Global Securities Class Action ServicesGlobal Securities Class Action Services

Global SWIFT ServicesGlobal SWIFT Services

Intelligent ProspectingIntelligent Prospecting

Intraday Risk MonitoringIntraday Risk Monitoring

Investment AccountingInvestment Accounting

Local Business ListingsLocal Business Listings

Managed Reference Data ServiceManaged Reference Data Service

Managed Services, Hosting and IntegrationManaged Services, Hosting and Integration

Mobile AppMobile App

NewslettersNewsletters

Operational Risk ManagementOperational Risk Management

Performance and AttributionPerformance and Attribution

Performance Dashboards and Operational ReportsPerformance Dashboards and Operational Reports

Portfolio and Order ManagementPortfolio and Order Management

Portfolio Securities VotingPortfolio Securities Voting

Post Trade and Regulatory CompliancePost Trade and Regulatory Compliance

Post Trade Processing Managed ServicesPost Trade Processing Managed Services

Pricing and ValuationPricing and Valuation

Print Delivery and Postal OptimizationPrint Delivery and Postal Optimization

Print MarketingPrint Marketing

Professional ServicesProfessional Services

Proxy ServicesProxy Services

Rapid OnboardingRapid Onboarding

ReconciliationReconciliation

Reconciliation Managed ServicesReconciliation Managed Services

Reference Data ManagementReference Data Management

Regulatory CommunicationsRegulatory Communications

Revenue Management and Fee BillingRevenue Management and Fee Billing

Sales and Asset ReportingSales and Asset Reporting

Securities FinanceSecurities Finance

SeminarsSeminars

Sponsored Name PlacementSponsored Name Placement

Tax ServicesTax Services

Wealth Insight ServicesWealth Insight Services

How can we help?

Become a Broadridge partner

Thank You

Talk to us

Thank You

Get client support

Thank You

Post-Trade Processing Managed Services

Redefine your operating model for brokerage processing

Streamline your operations while improving oversight

Streamline your operations for exceptional advisor and investor experience.

Learn More About Our Operating Functions

Clearance and Settlement

Asset Servicing

Regulatory Reporting

Let’s talk about
what’s next for you