Supervisor, Operations- DTC Settlements (Hybrid - Newark, NJ or Edgewood, LI)

Broadridge•Edgewood, NY

16d•Hybrid

About The Position

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 detail-oriented and motivated Settlements Operations Supervisor to support the daily oversight of DTC Settlements and Vault Operations. This role is responsible for helping ensure the accurate and timely execution of settlement activities, maintaining adherence to operational and regulatory requirements, and supporting a high-performing control environment. The ideal candidate will bring strong hands-on knowledge of DTC settlement processes, sound judgment in reviewing and approving work, and the ability to help drive operational excellence through process discipline, issue resolution, and collaboration with internal and external partners. This role will serve as a key escalation point for day-to-day processing questions, support quality review activities, and help identify opportunities for process improvement and automation. While this position may not have direct reports initially, it will play an important supervisory role by reviewing work, approving settlement-related activity, reinforcing procedures and controls, and providing guidance to associates across the team.

Requirements

3+ years of experience in settlements operations, preferably within DTC Settlements
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 escalate 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.