Broadridge

Operations

• 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

Transaction Operations Analyst

Product Manager

• Engage with external users to identify key business challenges and gather detailed requirements for new software applications.
• Conduct meetings with internal stakeholders and potentially external partners to gain deeper insights into business issues.
• Analyze and prioritize conflicting requirements across different user groups, and develop comprehensive functional requirement documents (FRDs).
• Collaborate closely with the development team on assigned initiatives, guiding and prioritizing development efforts within your product areas.
• Document and present your findings and solutions in a format that is understandable and actionable for both customers and the development team.
• Perform unit testing on all new system enhancements conducted by the development team.
• Implement internal productivity tools to help increase team effectiveness.
• Maintain and create documentations.

Junior Product Management Analyst, Intern

Financial Planning and Analysis

• Coordinate Broadridge’s leave of absence, disability, and financial protection benefit programs in partnership with third-party vendors
• Serve as the primary liaison among associates, managers, HR Business Partners, Payroll, and external leave administrators
• Manage and resolve escalated participant issues
• Provide consultative support on leave and benefits policies
• Collaborate with Payroll to ensure salary continuation and third-party offsets are accurately applied
• Maintain and enhance standard operating procedures and process workflows
• Stay current with evolving federal, state, and local leave and benefits regulations

Senior Benefits Analyst – Leaves, Time Off, Financial Protection Benefits

Administration

• Serve as the day-to-day contact for assigned PTV clients, fostering trusted partnerships and ensuring consistent, high-quality client experience.
• Act as the primary liaison between clients, internal teams (Product, Operations, Technology, and Compliance), and external partners to ensure seamless communication and delivery.
• Proactively manage client expectations, address inquiries, and resolve escalations with professionalism and urgency.
• Oversee daily and cyclical workflows related to PTV servicing, including data validation, reporting oversight, and production deployment coordination.
• Attend weekly client engagement calls to review progress, discuss issues, and ensure alignment on deliverables.
• Track and manage issues or data anomalies, ensuring timely resolution and transparent client communication.
• Coordinate UAT testing and production deployment activities across clients and internal teams to ensure accuracy and compliance.
• Maintain and enhance PTV client runbooks for documentation, sustainability, and scalability.
• Ensure data integrity and reporting accuracy to support clients’ stewardship and regulatory obligations.
• Partner with internal stakeholders to streamline workflows and improve efficiency across Client Services, Product, and Development teams.
• Identify opportunities to enhance client solutions, strengthen product adoption, and improve operational processes.
• Contribute to cross-functional initiatives that modernize PTV delivery and elevate client satisfaction.
• Support onboarding and mentoring new associates, sharing best practices in client servicing and stewardship operations.
• Promote a culture of collaboration, accountability, and proactive problem-solving across the team.

Senior Client Relations Administrator

Full-stack Engineer

• Lead major technology initiatives that deliver transformative solutions using cloud technologies, event‑driven architecture, and composable systems.
• Develop and execute a strategic technology roadmap that aligns with business goals and delivers measurable outcomes.
• Collaborate directly with business stakeholders and clients to understand needs and translate them into innovative, scalable engineering solutions.
• Drive client onboarding onto Broadridge’s Customer Communications platforms, ensuring seamless integration and adoption.
• Modernize legacy applications by migrating from monolithic environments to scalable, platform‑based architectures.
• Oversee legacy system migrations, ensuring operational stability and alignment with enterprise standards.
• Own the full delivery lifecycle, from requirements gathering and system design to implementation and successful execution.
• Provide strong technical and organizational leadership to global teams, ensuring transparency, accountability, and progress toward key milestones.
• Champion engineering excellence by promoting best practices in automation, system resilience, and continuous improvement.
• Mentor and inspire teams, fostering an inclusive, innovative, and collaborative culture that drives results.

Senior Director, Software Engineering – Hybrid, Flexible Options

• Provide outsourced operational/transactional business process support for clients, ensuring quality service and operational performance within the parameters of both the client needs and contract
• Lead and supervise DTC Security Settlement functions and related processes such as Vault processing, pair-offs, spo charges, RAD management, fail reporting, regulatory obligations such as FINRA extensions, break resolution, DK reporting, New issue processing, EOD Balancing, ETF settlements, Obligation warehouse, Buy-ins, Free deliveries and receives for a U.S. team with responsibilities governing our global off-shore resources
• Oversee supervisors, team leads, and associates in the DTC / Vault Settlements area
• Coach and mentor staff with responsibilities include providing constructive feedback, conducting annual performance reviews, managing salary and bonus budget for the group
• Identify automation opportunities and make recommendations to implement technical solutions in an efficient manner
• Accountable for daily operational functions
• Address daily operational escalations from clients as a result of system or human error and resolve them in a timely manner
• Also communicate the issue, solution, and plan of action for future avoidance in a timely manner to both the internal and external parties
• Mitigate Financial risk and market exposure for clients by proactively addressing unsettled trades with high Mark to Market (MTM) exposure and by monitoring ledger-to-bank reconciliation reports
• Participate in recruitment process by conducting technical interviews, devise training plan for new associates, supervise and track their progress via various metrics
• Implement and maintain quality controls by ensuring Written Supervisory Procedures (WSP) is adhered by the group
• Develop and maintain Standard Operating Procedures (SOP) for training purposes, for reference during critical issues and for seamless operations

Manager, Operations – DTC Settlements

Sales Operations Manager

• Analyzes sales related reports to identify sales patterns and areas for improvement
• Develops and maintains sales forecasts and associated performance reporting
• Assists with CRM development and integration
• Works closely with Sales and Sales Operations Management to identify and address issues
• Creates Contact Lead lists for Sales Reps and Business Development Reps
• Assists Marketing team with list generation for campaigns
• Manages Sales Enablement and Dialer application
• Reviews and validates existing customer and pricing data

Sales Operations Analyst

Engineer

• Design and implement solutions involving middleware technologies such as WebSphere Application Server/ND/Liberty, JBOSS, Tomcat, and NGINX.
• Engineer and administer middleware and container orchestration platforms (Docker, Kubernetes) across on-prem and AWS architectures.
• Develop and integrate immutable infrastructure with AWS, Terraform, Chef, and Python to enhance reliability and automation.
• Streamline CI/CD pipelines using Jenkins, GitLab, and related toolchains to support continuous deployment.
• Monitor and optimize container orchestration systems, ensuring performance, scalability, and service availability.
• Partner with development teams to migrate and modernize applications to containerized, platform-as-a-service (PaaS) environments.
• Automate middleware operations such as provisioning, patching, and lifecycle management for JBOSS, WebSphere, and Tomcat environments.
• Utilize Datadog, Splunk, and APM tools to monitor performance, fine-tune alerts, and support proactive incident resolution.
• Provide strategic technical guidance on middleware architecture, capacity planning, and platform governance.
• Participate in 24x7 support rotations and incident response to maintain continuous service availability.

Middleware Engineer

Network Operations

• Monitor and maintain enterprise network infrastructure (LAN/WAN, firewalls, VPNs, cloud connections) to ensure 24/7 uptime
• Diagnose and resolve performance issues, outages, and security alerts in real time
• Perform Level 1 and Level 2 troubleshooting; escalate complex issues to senior engineers or vendors when necessary
• Execute maintenance tasks — firmware upgrades, configuration changes, and patch management — with minimal business disruption
• Collaborate with security and compliance teams to align with regulatory frameworks (SOX, PCI-DSS, SEC)
• Accurately document incidents, configurations, and change activities in systems such as ServiceNow or Jira
• Support disaster recovery testing and internal/external audits
• Participate in rotating on-call schedules, including nights, weekends, and holidays, ensuring constant operational support

NOC Engineer

SDET

• QA testing with a focus on in Sprint automation
• Define and implement improvements to our existing processes and automated tools with the goal of increased testing scope and efficiency
• Work closely with Software Engineers and Product teams to understand the sophisticated ecosystems of the Broadridge product offerings
• Develop and maintain automated scripts promoting reusable components and maintainability
• Execute automated scripts and perform failure analysis to resolve root cause of failure
• Drive the conversion of manual tests to automated whenever possible
• Contribute to end-to-end Build regression/acceptance tests

SDET Analyst – Contract

Project Manager

• Collaborate with Project Coordinators to identify process improvements and efficiencies.
• Develop dashboards using Automated Intelligence (AI) to support Release Coordinators in client deliveries.
• Prepare artifacts to assist the team in utilizing AI and developed efficiencies.
• Provide assistance on various tasks related to internal processes.
• Reconcile reports and systems to ensure accuracy and efficiency.

Client Service Project Coordinator Intern

• Lead small projects or workstreams end-to-end under the guidance of a project manager
• Support the ongoing transformation from waterfall to agile teams, including helping to organize agile ceremonies and artifacts
• Assist with the support and administration of release management activities under the supervision of a Release Manager
• Prepare and maintain clear, concise project status reports for leadership and stakeholders
• Host and facilitate meetings to track updates and action items from project managers and team leads
• Help monitor project timelines, risks, and issues, escalating concerns to senior team members as needed
• Contribute to documenting processes, improving templates, and standardizing reporting across projects

Project Coordinator Intern

Client Services Representative

• Design and implement internal productivity tools to enhance team effectiveness, including developing applications using programming languages like Python or JavaScript
• Conduct data cleaning, transformation, and visualization projects to improve data accuracy and provide actionable insights for senior management, leveraging tools like PowerBI and ChatGPT
• Analyze Client Services data to identify patterns and trends that inform service improvements or future product offerings
• Assist in maintaining and creating documentation on Confluence to ensure knowledge-sharing and process standardization across teams
• Collaborate with internal stakeholders to understand business challenges and propose data-driven solutions
• Partner closely with the development team to guide and prioritize assigned development initiatives
• Support the creation of training materials and user guides to drive efficiency and adoption of new tools

Junior Analyst, Client Services Intern

• Partners with clients to coordinate the composition of mutual fund/ETF regulatory documents within client defined and SEC mandated SLA’s.
• Ensures final documents are signed off and approved by the client for distribution.
• Establishes productive, professional client relationships through unparalleled support, service and value to drive client satisfaction.
• Owns and addresses client needs and issues from inception to resolution, provides updates and follow ups as needed.
• Proactively partners with internal teams to communicate client requirements and turnaround time expectations.
• Ability to anticipate client needs and proactively reaches out to discuss opportunities that may help the client achieve goals.
• Actively tracks client projects, updating and monitoring internal reports to ensure the timely and efficient progression of each project.
• Creates and presents business reviews to clients.
• Subject matter expertise in the areas of regulatory document composition, SEC regulations and Broadridge systems.
• Serves as the primary point of contact for assigned clients.

• Responsible for processing voluntary and mandatory corporate actions, interpreting terms, allocation of event to holders and reconciliation
• Perform various Reorg events ensuring instructions are received and processed timely and accurately, as well as mitigate risk and exposure to the firm
• Monitor deadlines and critical cut-offs to ensure instructions are processed accordingly
• Learn and understand stock record, relating to various retail and institutional accounts
• Process allocations ensuring reorg events are paid timely and reconciled for accuracy
• Provide outstanding client service, Escalate client issues and complaints on operational matters to higher-level management when vital
• Understanding and recognizing various voluntary and mandatory reorg events and communicating with custodians, depositories, counterparties, and clients as needed

Transaction Operations Analyst

Junior Product Management Analyst, Intern

Senior Benefits Analyst – Leaves, Time Off, Financial Protection Benefits

Senior Client Relations Administrator

Senior Director, Software Engineering – Hybrid, Flexible Options

Manager, Operations – DTC Settlements

Sales Operations Analyst

Middleware Engineer

NOC Engineer

SDET Analyst – Contract

Client Service Project Coordinator Intern

Project Coordinator Intern

Junior Analyst, Client Services Intern

Senior Client Relations Administrator

Associate Operations