Sr Settlements Associate (Hybrid - Newark, NJ)

Broadridge Financial Solutions, Inc.; Newark (NJ); On-site; USD 51,000 - 73,000; Full time

Benefits offered by this job

Bonus Eligible

Job summary

Broadridge Financial Solutions, Inc. seeks a DTC Settlements professional to provide operational and transactional support for clients. The role ensures high-quality service, processes high-volume settlements, and aligns with contract requirements.

The position emphasizes accuracy, efficiency, and cross-team collaboration in a fast-paced environment. Key duties include end-of-day balancing, managing fails, and coordinating with counterparties.

Qualifications

• Four to five years of DTC settlements experience.
• Bachelor’s degree or equivalent experience.
• Experience or training in settlements or related operational processes.
• Ability to meet strict deadlines and deliver accurate work.
• Strong organizational and communication skills.

Responsibilities

• Manage RAD activity and DKs; process free receives; resolve DVP/RVP differences; complete EOD balancing and funding.
• Process buy-ins and manage fails with control and reporting.
• Prepare FINRA extension filings and Reg SHO 204 reporting; reconcile stock and cash breaks.
• Process new issues, focusing on settlement processing and fails management; process ETF settlements; DWAC processing.

Skills

DTC settlements experience

Deadline-driven

Organizational skills

Communication skills

Willingness to learn

Education

Bachelor’s degree or equivalent experience

Tools

BPS

IMPACT

DTC Settlements Web

DTCC Portal: Smart Track

Clearing Dashboard

Obligation Warehouse

Job description

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 DTC Settlements professional to provide operational and transactional support for clients. This role helps ensure high-quality service and operational performance within client and contract requirements. The position supports efficient, high-volume processing, monitors productivity and delivery, and contributes to business goals and cost requirements.

Key Responsibilities

• 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 (EOD) 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 that support 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, which may include 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.

Qualifications

• 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.

Compensation Range: The salary range for this position is $45/hr

Bonus Eligibility: Bonus Eligible

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.

The deadline to apply for this role is December 1, 2026

Broadridge is committed to creating an engaging workplace for the most talented associates in our industry.

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.

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 [e-mail].

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 equities, fixed income, and other 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.

We are dedicated to fostering a collaborative, inclusive, and healthy environment that promotes flexibility and accountability. As a leading provider of technology, communications, and data and analytics solutions to businesses around the world, it is critical that we understand, embrace, and operate in a multicultural environment. Every associate has unique strengths, which, when fully appreciated and embraced, allow individuals to perform at their best, leading to our success. We believe that our associates are our most important asset. Encouraging professional development opportunities is a core part of our culture.

Broadridge provides educational opportunities, including formal classes, training programs and events. To enable learning in our hybrid working model, Broadridge has redesigned all development programs for 100% virtual delivery. Our associates have access to 8,500+ online courses covering business, leadership, technical, and function-specific topics through our LinkedIn Learning program.