Broadridge

Transaction Operations Analyst

Broadridge

full-time

Posted on:

Location Type: Remote

Location: North Carolina • United States

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Salary

💰 $17 - $20 per hour

Job Level

Junior

About the role

  • Manage and maintain RAD (Receive and Deliver) activities
  • Handle DKs and resolve trade discrepancies
  • Process Free Receives and Deliver vs. Payment / Receive vs. Payment (DVP/RVP) differences
  • Perform SPO processing and pair-offs in coordination with the middle office and counterparties
  • Conduct end-of-day balancing and funding activities
  • Manage buy-in processing, fail control, and associated reporting
  • Prepare and file FINRA extensions and Reg SHO 204 reports
  • Perform Obligation Warehouse activities, including recaps
  • Reconcile stock and cash breaks
  • Support new issue processing, focusing on settlement and fail management
  • Execute ETF settlement processing
  • Process DWAC transactions for buybacks and conversions

Requirements

  • 1–3 years of operations or back-office experience in a financial services environment preferred
  • Strong attention to detail and commitment to quality control
  • Excellent organizational and time-management skills
  • Working knowledge of trade settlement processes, industry regulations, and reconciliation practices a plus
  • Proficiency with Microsoft Office Suite; familiarity with trade management or settlement systems preferred
  • Ability to work independently and as part of a team in a high-volume environment.
Benefits
  • Medical, dental, life, and vision insurance.
  • 401k w/ match, parental leave, and more.
  • Paid Time off: 15 vacation days, 5 sick days, and 3 personal days per year.
  • Medical insurance starts immediately upon hire.

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
trade settlement processesreconciliation practicesSPO processingbuy-in processingfail controlETF settlement processingDWAC transactionsFINRA extensionsReg SHO 204 reportsObligation Warehouse activities
Soft skills
attention to detailquality controlorganizational skillstime-management skillsability to work independentlyteam collaborationcommitment to quality