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Oversee daily DTC security settlement functions and vault operations to ensure accurate and timely execution. Provide supervisory guidance by reviewing work, approving settlement activities, and maintaining a strong control environment.
Requires 3+ years of experience in settlements operations, preferably with DTC and vault experience. A bachelor's degree and Series 99 certification are preferred.
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 detail-oriented and motivated Settlements Operations Supervisor to support the daily oversight of DTC Settlements and Vault Operations. This role is responsible for helping ensure the accurate and timely execution of settlement activities, maintaining adherence to operational and regulatory requirements, and supporting a high-performing control environment.
The ideal candidate will bring strong hands-on knowledge of DTC settlement processes, sound judgment in reviewing and approving work, and the ability to help drive operational excellence through process discipline, issue resolution, and collaboration with internal and external partners. This role will serve as a key escalation point for day-to-day processing questions, support quality review activities, and help identify opportunities for process improvement and automation.
While this position may not have direct reports initially, it will play an important supervisory role by reviewing work, approving settlement-related activity, reinforcing procedures and controls, and providing guidance to associates across the team.
Provide outsourced operational/transactional business process support for clients, ensuring quality service and operational performance aligned with client needs and contractual obligations.
Support the daily oversight of DTC Security Settlement functions and related processes, including 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 activity, buy-ins, and free deliveries and receives.
Review and approve settlement-related activity to ensure accuracy, completeness, timeliness, and adherence to established procedures and controls.
Conduct quality reviews of work completed by associates and provide feedback to help ensure consistency, accuracy, and continuous improvement.
Serve as a subject matter resource for the team by answering processing questions, assisting with issue resolution, and escalating risks or exceptions when needed.
Support daily operational functions by identifying, investigating, and resolving breaks, settlement issues, and client or internal escalations in a timely manner.
Partner with leadership to maintain a strong control environment by ensuring compliance with Written Supervisory Procedures (WSPs) and other operational guidelines.
Assist in developing, enhancing, and maintaining Standard Operating Procedures (SOPs) to support training, consistency, and effective issue management.
Identify operational inefficiencies and support recommendations for process enhancements, workflow improvements, and automation opportunities.
Collaborate with onshore and offshore partners to help ensure seamless execution of daily settlement and vault activities.
Support training and onboarding efforts for new associates by sharing process knowledge, reinforcing best practices, and monitoring quality of work.
Communicate effectively with internal stakeholders and clients regarding operational issues, resolutions, and preventative actions.
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
Compensation Range: The salary range for this position is between $90,000 - $95,000.
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 October 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 BRcareers@broadridge.com.
Broadridge Financial Solutions (NYSE: BR) is a global technology leader with trusted expertise and transformative technology, helping clients and the financial services industry operate, innovate, and grow. We power investing, governance, and communications for our clients – driving operational resiliency, elevating business performance, and transforming investor experiences. Our technology and operations platforms process and generate over 7 billion communications annually and underpin the daily average trading of over $15 trillion in tokenized and traditional securities globally. A certified Great Place to Work®, Broadridge is part of the S&P 500® Index, employing over 15,000 associates in 21 countries. For more information about us, please visit www.broadridge.com
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