Broadridge is a company that empowers others to accomplish more, and they are seeking a Transaction Operations Analyst to join their team. This role provides outsourced operational and transactional business process support for clients, ensuring high-quality service and efficient performance in accordance with client needs and contractual obligations.
Responsibilities
- 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
Skills
- 1–3 years of operations or back-office experience in a financial services environment
- Strong attention to detail and commitment to quality control
- Excellent organizational and time-management skills
- Ability to work independently and as part of a team in a high-volume environment
- Working knowledge of trade settlement processes, industry regulations, and reconciliation practices
- Proficiency with Microsoft Office Suite
- Familiarity with trade management or settlement systems
Benefits
- Bonus Eligible
- Paid sick leave in compliance with the Colorado Healthy Families and Workplaces Act
Company Overview
Broadridge is a provider of investor communications and technology solutions for broker dealers, banks, mutual funds and corporate issuers. It was founded in 1962, and is headquartered in New York, New York, USA, with a workforce of 10001+ employees. Its website is http://www.broadridge.com.Company H1B Sponsorship
Broadridge has a track record of offering H1B sponsorships, with 109 in 2025, 124 in 2024, 83 in 2023, 141 in 2022, 100 in 2021, 73 in 2020. Please note that this does not guarantee sponsorship for this specific role.
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