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About the Role
Broadridge is seeking a DTCC Settlements Supervisor/ Operations Support to join a stellar team. This role involves supervising daily DTCC settlement functions and related operational processes, providing oversight of team workflow, and serving as a primary escalation point for complex operational issues.
Responsibilities
- Supervise daily DTCC settlement functions and related operational processes, including Buy-Ins, Prime Broker, and Vault activities
- Provide day-to-day oversight of team workflow, ensuring timely execution of settlement tasks, escalation management, and adherence to service level expectations
- Monitor team performance, workload distribution, and operational accuracy to ensure efficient and effective processing
- Serve as a primary escalation point for complex operational issues arising from system or human error, ensuring timely resolution and clear communication to internal and external stakeholders
- Oversee and support the onboarding of new clients to Broadridge product platforms, including Brokerage Processing Services (BPS) for equity trade settlement and Impact for fixed income trade settlement
- Facilitate the development and enhancement of Broadridge settlement tools, including Global Framework (GFW), Broadridge Exception Event System (BEES), and Universal Dashboard
- Provide operational subject matter expertise for system improvements and perform or coordinate user acceptance testing (UAT)
- Lead internal and external training efforts on Broadridge products, including GFW, BPS, Impact, BuyIns System, and Universal Dashboard
- Coach and support team members through training, knowledge-sharing, and ongoing process guidance
- Monitor unsettled trades with high mark-to-market (MTM) exposure and suspense account activity to help reduce client market exposure and operational risk
- Identify, recommend, and help implement Robotic Process Automation (RPA) opportunities and other process improvements within DTC Settlements
- Perform supervisory quality control reviews to ensure team adherence to Written Supervisory Procedures (WSP), internal controls, and operational standards
- Develop, maintain, and enhance Standard Operating Procedures (SOP) to support consistent execution, training, issue response, and operational continuity
- Partner with support functions such as HR, IT, and Finance on team-related, system-related, and project-related initiatives
- Support management reporting, issue tracking, and process governance efforts to improve transparency, accountability, and operational effectiveness
Requirements
- 3+ years of experience supporting settlement functions
- 1+ years of supervisory, team lead, or workflow oversight experience
- Experience overseeing client support processes, service issues, and operational escalations
- Financial industry back-office operations experience required; DTCC experience preferred
- Experience onboarding new clients preferred
- Experience training, mentoring, or coaching team members in an operational environment preferred
- Demonstrated leadership ability with experience overseeing daily operations, workflow, and service quality
- Strong supervisory skills, including coaching, accountability, escalation management, and team support
- Ability to make sound decisions in a fast-paced, deadline-driven environment
- Excellent client service skills with the ability to manage sensitive issues and maintain strong relationships
- Strong organizational skills and attention to detail
- Ability to identify operational risk, process gaps, and improvement opportunities
- Experience supporting system enhancements, testing initiatives, and operational change management
- Ability to create and maintain process documentation, training materials, and control procedures
- Strong collaboration skills with the ability to work across operations, technology, HR, finance, and client-facing teams
- Commitment to operational excellence, risk mitigation, and continuous improvement
Skills
- DTCC settlement functions
- Buy-Ins
- Prime Broker activities
- Vault activities
- Escalation management
- Service level expectations
- Operational accuracy
- Client onboarding
- Brokerage Processing Services (BPS)
- Impact
- Global Framework (GFW)
- Broadridge Exception Event System (BEES)
- Universal Dashboard
- User acceptance testing (UAT)
- Robotic Process Automation (RPA)
- Written Supervisory Procedures (WSP)
- Internal controls
- Standard Operating Procedures (SOP)
- Management reporting
- Issue tracking
- Process governance
- Settlement operations
- Post-trade processes
- Leadership
- Supervisory skills
- Coaching
- Accountability
- Client service
- Communication skills
- Organizational skills
- Attention to detail
- Risk mitigation
- Continuous improvement
Location
- Newark
- Edgewood
Work Type
- Hybrid
Experience Level
- Supervisor
- Team Lead
Education Level
- Bachelor’s degree or equivalent experience
Salary/Compensations
- 95,000.00 – 105,000.00 USD annual
- Bonus Eligible
Benefits
- Comprehensive benefit offerings
About the Company
- At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more.
- We are dedicated to fostering a collaborative, engaging, and inclusive environment and are committed to providing a workplace that empowers associates to be authentic and bring their best to work.
- We believe that associates do their best when they feel safe, understood, and valued, and we work diligently and collaboratively to ensure Broadridge is a company—and ultimately a community—that recognizes and celebrates everyone’s unique perspective.
Equal Opportunity
- Broadridge provides equal employment opportunities to all associates and applicants for employment without regard to race, color, religion, sex (including sexual orientation, gender identity or expression, and pregnancy), marital status, national origin, ethnic origin, age, disability, genetic information, military or veteran status, and other protected characteristics protected by applicable federal, state, or local laws.
- As part of the recruiting process, Broadridge may use technology, including artificial intelligence (AI)-based tools, to help review and evaluate applications. These tools are used only to support our recruiters and hiring managers, and all employment decisions include human review to ensure fairness, accuracy, and compliance with applicable laws.
- Any attempt to falsify, misrepresent, or disguise information in an application, resume, assessment, or interview will result in disqualification from consideration.
- US applicants: Click here to view the EEOC "Know Your Rights" poster.
- If you need assistance or would like to request reasonable accommodations during the application and/or hiring process, please contact us at 888-237-7769 or by sending an email to BRcareers@broadridge.com.