Settlements Operations Supervisor — Drive Excellence

Broadridge; Town of Newark (WI); On-site; USD 90,000 - 95,000; Full time

Job summary

Broadridge is seeking a Settlements Operations Supervisor to oversee daily DTC settlements and Vault operations, ensuring accuracy, timeliness, and regulatory compliance. The role emphasizes process discipline, issue resolution, and collaboration with internal and external partners, with a focus on driving operational excellence.

The position may evolve into a supervisory leadership role with decision-making authority and opportunity to enhance controls, SOPs, and automation.

Qualifications

• 3+ years of experience in settlements operations.
• 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 elevate 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.

Responsibilities

• 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.

Skills

DTC settlements

Vault operations

Issue resolution

Regulatory controls

Risk awareness

Communication

Process improvement

Automation opportunities

Supervisory experience

SOP development

Onshore/offshore collaboration

DTC/BONY NEXEN/tools familiarity

Education

Bachelor’s degree or equivalent

Tools

IMPACT

Global Framework / BPS

DTC

VPS

BONY NEXEN

Job description

Broadridge is seeking a Settlements Operations Supervisor to oversee daily DTC settlements and Vault operations, ensuring accuracy, timeliness, and regulatory compliance. The role emphasizes process discipline, issue resolution, and collaboration with internal and external partners, with a focus on driving operational excellence.

The position may evolve into a supervisory leadership role with decision-making authority and opportunity to enhance controls, SOPs, and automation.