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About Broadridge

North American Post-Trade Business Process Outsourcing

Redefine your operating model for brokerage processing

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

Streamline your operations while improving oversight

Streamline your operations for exceptional advisor and investor experience.

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FINRA Regulated Broker-Dealer
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Performance Transparency
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Real-Time Business Continuity
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Outcome-Based SLA
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Enterprise-Wide Monitoring
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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
How We Can Help

Leading technology and proven operations

Customer accounts supported by our business process outsourcing.
Billion in client assets supported by our business process outsourcing.
Best Outsourcing Provider to the Sell-Side 2016, 2017, 2018, 2019 and 2020.

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