Sr Settlements Associate (Hybrid - Newark, NJ)

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

Benefits offered by this job

Bonus Eligible

Job summary

Broadridge is seeking a DTC Settlements professional to provide operational and transactional support for clients in a high-volume environment. You will monitor productivity, ensure quality service, and help meet contract requirements while coordinating with counterparties.

Key responsibilities include end-of-day balancing, regulatory filings, reporting on fails, and settlement processing for ETFs and new issues. The role emphasizes accuracy, deadlines, and process improvement.

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, high-quality work.
• Strong organizational and communication skills, including teamwork with colleagues and clients.
• Self-motivated and reliable, with a commitment to process improvement.

Responsibilities

• Manage RAD activity and DKs.
• Process free receives and resolve DVP/RVP differences.
• Process SPOs and pair-offs with M/O direction and 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).
• Develop and evaluate processes that support ROI and cost requirements.
• Use software and tools to support processing, maintenance, and service needs.
• Complete related administrative tasks such as data entry and document verification.

Skills

DTC settlements experience

Deadline-driven

Communication

Education

Bachelor’s degree or equivalent

Tools

DTC Settlements Web

DTCC Portal: Smart Track

Clearing Dashboard

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

Broadridge considers various factors when evaluating a candidate’s final salary including, but not limited to, relevant experience, skills, and education.

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

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.

Disability Assistance

We recognize that ensuring our long-term success means creating an environment where everyone is welcome, where everyone’s strengths are valued, and where everyone can perform at their best. 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].