At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more. If you’re passionate about developing your career, while helping others along the way, come join the Broadridge team.
Broadridge is hiring! We are seeking a Sr. Settlements Associate to provide outsourced operational and transactional business process support for Fails Management across DTC and FED settlements. In this role, the associate is responsible for delivering high-quality service and strong operational performance in alignment with both client needs and contractual requirements. The position supports a range of routine back-office functions, including data entry, order and application processing, document verification, accounting support, and the preparation of mailings. Success in this role requires a strong focus on accuracy, efficiency, and the timely handling of high-volume, transaction-oriented work, with decision-making guided by established procedures and greater autonomy exercised as experience and responsibility increase.
Responsibilities
RAD Management
DK’s
Free receives
Resolve DVP/RVP differences
SPO processing
Pair offs as required – directed by M/O and counterparty interaction
EOD BalanBuy-in processing
Fail Control & Reporting
FINRA Extension filing
RegSho 204 Reporting
Obligation Warehouse activities including Recaps
Stock & Cash breaks reconciliation
New Issue processing – Strictly settlement processing and fails management
ETF Settlement Processing
Deposit and Withdrawal at Custodian (DWAC) for Buybacks and Conversions
Qualifications
2-5 years of DTC Settlements experience
Bachelor's degree/equivalent experience
A driven individual who is looking for self and process improvement
A willing learner who is open to new ideas and concepts
Ability to meet and deliver positive work on strict deadlines
Ability to strengthen bonds and communicate effectively and clearly with both colleagues and clients
Self-motivated individual who wants to push themselves towards excellence
A responsible and reliable person personally and professionally
BPS, IMPACT, DTC Settlements Web, DTCC Portal: Smart Track, Clearing Dashboard, Obligation Warehouse as a benefit
Compensation Range: The salary range for this position is between $43.00 per hour - $45.00 per hour
Bonus Eligibility: Bonus Eligible
Broadridge considers various factors when evaluating a candidate's final salary including, but not limited to, relevant experience, skills, and education.
Benefits Information: Please visit www.broadridgebenefits.com for more information on our comprehensive benefit offerings.
All Colorado employees receive paid sick leave in compliance with the Colorado Healthy Families and Workplaces Act and other legally required benefits, as applicable. Apply by clicking the application link and submitting your information. The deadline to apply for this role is August 1, 2026
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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.
Use of AI in Hiring
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. Please note that honesty and transparency are critical to our hiring process. 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.
Disability Assistance
We recognize that ensuring our long-term success means creating an environment where everyone is welcome, where everyone's strengths are valued, and where everyone can perform at their best. 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.
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 [email protected].
Skills Required
- 2-5 years of DTC Settlements experience
- Bachelor's degree/equivalent experience
- Ability to meet and deliver positive work on strict deadlines
- Strong communication skills with colleagues and clients
- Self-motivated and responsible individual
Broadridge Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Broadridge and has not been reviewed or approved by Broadridge.
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Healthcare Strength — Healthcare coverage is described as broad, with multiple medical plan options plus dental, vision, prescription coverage, and telehealth access. Preventive care is framed as fully covered in-network, alongside added supports like an employee assistance program and on-site wellness availability in some locations.
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Retirement Support — Retirement support is positioned as meaningfully supportive via a 401(k) match structure that increases with tenure. Added financial support such as one-on-one financial counseling is also included as part of the broader rewards approach.
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Parental & Family Support — Parental support is presented as substantial, including up to nine weeks of paid new-parent salary continuation. Additional family-oriented programs like back-up care and dependent-care options are included in the benefits mix.
Broadridge Insights
What We Do
Broadridge Financial Solutions, Inc. (NYSE: BR), is a global fintech leader, delivering technology-driven solutions that drive digital transformation for banks, broker-dealers, asset and wealth managers and public companies. At Broadridge, we are committed to making a difference. Our unique culture is guided by the Service-Profit Chain—the idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation of stockholder value. We enable better financial lives by providing the critical infrastructure that powers investing, corporate governance and communications. A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 14,000 associates in 21 countries.
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