Broadridge is a company dedicated to empowering others and is currently seeking a Transaction Operations Analyst to join their team. This role focuses on providing operational and transactional business process support for clients, ensuring high-quality service and compliance with contractual obligations.
Responsibilities
- Manage and maintain RAD (Receive and Deliver) activities
- Handle DKs and resolve trade discrepancies
- Process Free Receives and Deliver vs. Payment / Receive vs. Payment (DVP/RVP) differences
- Perform SPO processing and pair-offs in coordination with the middle office and counterparties
- Conduct end-of-day balancing and funding activities
- Manage buy-in processing, fail control, and associated reporting
- Prepare and file FINRA extensions and Reg SHO 204 reports
- Perform Obligation Warehouse activities, including recaps
- Reconcile stock and cash breaks
- Support new issue processing, focusing on settlement and fail management
- Execute ETF settlement processing
- Process DWAC transactions for buybacks and conversions
Skills
- 1–3 years of operations or back-office experience in a financial services environment
- Strong attention to detail and commitment to quality control
- Excellent organizational and time-management skills
- Ability to work independently and as part of a team in a high-volume environment
- Working knowledge of trade settlement processes, industry regulations, and reconciliation practices
- Proficiency with Microsoft Office Suite
- Familiarity with trade management or settlement systems
Benefits
- Bonus Eligible
- Paid sick leave in compliance with the Colorado Healthy Families and Workplaces Act
Company Overview
Company H1B Sponsorship
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