Senior Settlements Associate

Broadridge

. Manage RAD activity and DKs .

Posted 11/3/2026full-timeNewark • New Jersey • United StatesSenior💰 $45 per hourWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in DTC settlements, including processing buy-ins, managing fails, and completing regulatory reporting. Strong organizational and communication skills are essential for effective collaboration and meeting strict deadlines.

Highest-signal resume keywords

DTC Settlements ExperienceReg SHO 204 ReportingFail Control ManagementOperational Process ImprovementData Entry and Document Verification

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Settlement ProcessingEnd-of-Day BalancingReconciliation of Stock and Cash BreaksProcessing Deposits and WithdrawalsProcessing ETF SettlementsManaging FailsPreparing FINRA Extension FilingsCompleting Obligation Warehouse ActivitiesProcessing Free ReceivesProcessing SPOs and Pair-Offs

Soft Skills

Strong Organizational SkillsEffective Communication SkillsSelf-MotivatedResponsibleReliable

Tools & Technologies

DTC Settlements WebDTCC Portal: Smart TrackClearing DashboardObligation WarehouseBPSIMPACT

Industry Keywords

RAD Activity ManagementDVP/RVP Differences ResolutionOperational and Administrative WorkCost RequirementsProductivity Improvement

About the role

Key responsibilities & impact

Manage RAD activity and DKs
Process free receives and resolve DVP/RVP differences
Process SPOs and pair-offs as required, 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
Develop, implement, and evaluate processes supporting business goals, cost requirements, productivity, and planned return on investment (ROI)
Use relevant software, applications, and online resources to support processing, system maintenance, and service needs
Complete related operational and administrative work, including data entry, order or application processing, document verification, accounting support, and preparing mailings
Follow established procedures and contract requirements, applying appropriate discretion to address issues and improve efficiency

Requirements

What you’ll need

Four to five years of DTC settlements experience
Bachelor’s degree or equivalent experience
Experience or training that has developed specialized skills in settlements or related operational processes
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, responsible, and reliable, with a commitment to personal and process improvement
Open to learning new ideas and concepts, and willing to support colleagues with less experience
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
Reasonable accommodations during the application and hiring process