Powering front-to-back equities trading to accelerate broker-dealer growth

Overview

To support its expansion into equities trading and market making, a leading regional U.S. bank needed a scalable, fully integrated trading infrastructure. With ambitions to grow volumes, expand exchange connectivity, and transition to self-clearing, the firm required more than incremental upgrades; it needed a unified platform capable of powering front-to-back operations.

Already a key back-office partner, Broadridge was uniquely positioned to extend the relationship into the front office, delivering an end-to-end equities trading and middle office solution that streamlined workflows, expanded market access, and positioned the firm for long-term competitive growth.

The client

• Leading U.S. regional bank
• Growing capital markets and broker-dealer platform
• Experienced trading leadership team

Broadridge solution: Broadridge Order Management

The challenge

• Scaling equities trading and market making operations without increasing operational complexity
• Fragmented trading workflows limiting efficiency and future readiness
• Need for expanded, direct market connectivity to support growing liquidity demands
• Long-term goal to transition to self-clearing, requiring modern, integrated infrastructure

Broadridge solution

• Extended an existing back-office partnership to implement an integrated U.S. High Touch Order Management System (OMS), Connectivity, and Middle Office platform supporting end-to-end equities trading
• Unified order capture, execution, connectivity, and post-trade workflows into a single scalable environment
• Delivered direct connectivity to major U.S. exchanges and global liquidity venues
• Enabled automation and streamlined processes to support increasing trade volumes, market making activity, and the firm’s long-term transition to self-clearing

Results