Amid this period of ongoing change, with the potential for continued market volatility, Broadridge stands ready to help you navigate what’s next. Our highest priorities are keeping our associates safe and ensuring our ability to serve our clients. View resources.

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

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

15(c) Board Reporting

22c-2 Compliance

Advisor Resource Center

Advisor Websites

Annual Compliance

Asset Servicing

Bank Debt and Loan Trading

Beneficial Proxy Services

Billing and Expense Management

Capital Markets Disclosures

Cash Management

Collateral Management

Composition and Publishing for Legal Documents

Connectivity

Consumer Preference and Profile Management

Continuing Education

Credit and Market Risk

Data Management and Archival

Data Management, Analytics and Reporting

Derivatives Trade Processing

Digital Delivery

Digital Experience Management

Direct Marketing

Document Composition

EDGARForms

Enhanced Packaging

Enhanced Proxy Design

Equity Trade Processing

ESG Advisory Services

Expense Management and Fee Validation

Expense Management business process outsourcing

Financial Reporting

Fixed Income Trade Processing

Foreign Exchange Trade Processing

Global Securities Class Action Services

Global SWIFT Services

Global Tax Reclaim and State Tax Reporting

Intelligent Prospecting

Intraday Risk Monitoring

Investment Accounting

Managed Services, Hosting and Integration

Newsletters

Operational Risk Management

Performance and Attribution

Performance Dashboards and Operational Reports

Portfolio and Order Management

Portfolio Securities Voting

Post Trade and Regulatory Compliance

Pricing and Valuation

Print Delivery and Postal Optimization

Print Marketing

Private Fund Compliance Reporting

Proxy Services

ProxyVote

Rapid Onboarding

Reconciliation

Reconciliation Managed Services

Reference Data Management

Registered Proxy Services

Regulatory Communications

Revenue Management and Fee Billing

Sales and Asset Reporting

Securities Finance

Seminars

Shareholder Data Services

Sponsored Name Placement

Stock Transfer

Tax Services

Trading Platforms

Vdr

Virtual Shareholder Meeting

Wealth Insight Services

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