Supervisor, Operations – DTC Settlements

Broadridge

Settlements Operations Supervisor managing DTC settlement tasks and regulatory requirements. Ensuring accuracy and operational excellence in a high-performing control environment.

Posted 7/27/2026full-timeNewark • New Jersey, New York • 🇺🇸 United StatesMid-LevelSenior💰 $90,000 - $95,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in DTC Settlement Processing and Operational Controls, with a strong focus on quality assurance, process enhancement, and effective communication across teams. Proven ability to lead and support operational functions while maintaining a strong control environment.

Highest-signal resume keywords

DTC Settlement ProcessingOperational ControlsQuality ReviewProcess EnhancementEffective Communication

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Settlements OperationsOperational Work ReviewIssue ResolutionRisk AwarenessDetail Orientation

Soft Skills

Self-MotivatedCommitment to Continuous ImprovementCollaboration

Tools & Technologies

VaultIMPACTGlobal FrameworkBPSVPSBONY NEXEN

Certifications & Qualifications

Series 99

Industry Keywords

Standard Operating ProceduresOperational InefficienciesDTC SettlementsClient CommunicationTraining and Onboarding

Tech Stack

Tools & technologies

Vault

About the role

Key responsibilities & impact

Provide outsourced operational/transactional business process support for clients
Support the daily oversight of DTC Security Settlement functions and related processes
Review and approve settlement-related activity to ensure accuracy, completeness, timeliness
Conduct quality reviews of work completed by associates and provide feedback
Serve as a subject matter resource for the team by answering processing questions
Support daily operational functions by identifying, investigating, and resolving breaks
Partner with leadership to maintain a strong control environment
Assist in developing, enhancing, and maintaining Standard Operating Procedures (SOPs)
Identify operational inefficiencies and support recommendations for process enhancements
Collaborate with onshore and offshore partners
Support training and onboarding efforts for new associates
Communicate effectively with internal stakeholders and clients regarding operational issues

Requirements

What you’ll need

3+ years of experience in settlements operations, preferably within DTC Settlements
Bachelor’s degree or equivalent experience preferred
Experience reviewing and/or approving operational work in a settlements environment
Prior experience in a lead, senior associate, or supervisory capacity preferred
Vault experience preferred
Series 99 preferred
Strong knowledge of DTC settlement processing and related operational controls
Ability to identify and resolve issues in a fast-paced, deadline-driven environment
Strong risk awareness and ability to escalate issues appropriately
Effective communication skills with the ability to work across teams and with clients
Self-motivated, detail-oriented, and committed to continuous improvement
Open to new ideas, process enhancements, and evolving business needs
Experience with IMPACT, Global Framework / BPS, DTC, VPS, and BONY NEXEN preferred.

Benefits

Comp & perks

Comprehensive benefit offerings
Paid sick leave in compliance with the Colorado Healthy Families and Workplaces Act