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Senior Associate – Operations
Broadridge. Develop, implement, and evaluate processes supporting business goals and cost requirements .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in DTC Settlements, including processing buy-ins, managing fails, and preparing regulatory filings. Strong organizational and communication skills are essential for effective collaboration and meeting strict deadlines.
Highest-signal resume keywords
DTC Settlements ExperienceRegulatory ReportingData Entry and Document VerificationProcess ImprovementOrganizational Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Settlement ProcessingFail Control and ReportingEnd-of-Day BalancingAccounting SupportOrder Processing
Soft Skills
Strong Communication SkillsSelf-MotivatedDependableOrganizational SkillsCommitment to Improvement
Tools & Technologies
BPSIMPACTDTC Settlements WebDTCC Portal: Smart TrackClearing DashboardObligation Warehouse
Industry Keywords
FINRA Extension FilingsReg SHO 204 ReportingProductivity MonitoringClient Business ProcessesRoutine Back-Office Activities
About the role
Key responsibilities & impact- Develop, implement, and evaluate processes supporting business goals and cost requirements
- Monitor productivity and delivery, assess performance, and support planned ROI
- Provide operational and transactional support for client business processes
- Perform routine back-office activities, including data entry, order and application processing, document verification, accounting support, and preparing mailings
- Use software and internet applications to support performance, maintenance, system resources, and service and support needs
- Manage RAD activity and DKs
- Process free receives and resolve DVP/RVP differences
- Process SPOs and pair-offs following M/O direction and coordinating with counterparties
- Complete end-of-day balancing and funding
- Process buy-ins and manage fails, including fail control and reporting
- Prepare FINRA extension filings and Reg SHO 204 reporting
- Complete Obligation Warehouse activities, including recaps
- Reconcile stock and cash breaks
- Process new issues, focusing on settlement processing and fails management
- Process ETF settlements
- Process Deposits and Withdrawals at Custodian (DWAC) for buybacks and conversions
- Follow established procedures and contract requirements, using appropriate discretion to address issues and improve efficiency
Requirements
What you’ll need- Two to five years of DTC Settlements experience
- Bachelor’s degree or equivalent experience
- Job-related training and experience developing specialized skills or working across multiple tasks
- Ability to meet strict deadlines and deliver accurate, high-quality work
- Strong organizational and communication skills, including the ability to work effectively with colleagues and clients
- Self-motivated and driven, with a commitment to personal and process improvement
- Open to learning new ideas and concepts; dependable and responsible in a professional setting
- Familiarity with BPS, IMPACT, DTC Settlements Web, DTCC Portal: Smart Track, Clearing Dashboard, and Obligation Warehouse is a plus
Benefits
Comp & perks- Bonus eligible
- Comprehensive benefit offerings
- Paid sick leave for Colorado employees in compliance with the Colorado Healthy Families and Workplaces Act
- Other legally required benefits, as applicable