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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

5 STORIES: How Broadridge Managed Services tackles clients’ toughest challenges

Case Study

5 STORIES: How Broadridge Financial Services Business Process Outsourcing Tackles Clients’ Toughest Challenges

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

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Post-Trade Processing Managed Services

Redefine your operating model for brokerage processing

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Leading technology and proven operations

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The right insights, right now

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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.

Leading technology and proven operations

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