Broadridge Operations Solutions from Broadridge Financial Solutions

Cloud-based solutions that offer end-to-end automation of back-office functions, including trade processing, reconciliation, and compliance management.

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Product analysis by function

Back-Office Automation for Operations

Platforms that automate manual back-office processes to improve efficiency and reduce operational risk.
More Back-Office Automation More Operations ...

Data Management and Integration
(9 Yes /9 Known /13 Possible features)

Automation Capabilities
(8 Yes /8 Known /13 Possible features)

Compliance and Security
(9 Yes /9 Known /13 Possible features)

Reporting and Analytics
(12 Yes /12 Known /13 Possible features)

User Experience and Accessibility
(7 Yes /7 Known /13 Possible features)

Transaction Processing
(10 Yes /10 Known /13 Possible features)

Integration & Interoperability
(11 Yes /11 Known /13 Possible features)

Exception Management
(8 Yes /8 Known /13 Possible features)

Scalability and Performance
(8 Yes /8 Known /13 Possible features)

Configurability and Extensibility
(8 Yes /8 Known /13 Possible features)

Maintenance, Support, and Documentation
(11 Yes /11 Known /13 Possible features)

Cost Management and Deployment Options
(8 Yes /8 Known /13 Possible features)

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Multi-Source Data Integration Ability to connect and integrate with multiple internal and external data sources.		Described as end-to-end automation platform for banking operations; integration with upstream and downstream systems is standard, referencing multi-source data integration.
Real-Time Data Sync Latency of data updates between systems.		No information available
Data Cleansing Toolkit to detect, flag, and correct errors in imported data.		Back-office automation platforms like Broadridge's routinely include data cleansing to ensure transaction and reconciliation accuracy.
Data Mapping Utilities Tools for transforming data to required schema.		Data mapping utilities are necessary for core banking integration and reconciliation; referenced in operations automation context.
Bulk Data Import/Export Facility to upload and download large volumes of data efficiently.		Bulk import/export of trade data and positions is a core function for operations platforms; likely offered.
Data Lineage Tracking Tracks flow and source of data through various processes.		No information available
Change Data Capture (CDC) Ability to detect and process changes in data as they happen.		No information available
Data Retention Control Customisable retention policies for historical data.		No information available
Audit Trails for Data Changes Maintains full logs of all modifications to data.		Audit trails for reconciliation and compliance are a must, particularly in highly regulated segments. Broadridge explicitly references compliance management.
Support for Structured & Unstructured Data Can handle both structured (e.g., tables) and unstructured (e.g., PDF, images) inputs.		Support for both structured/unstructured data is typical in operations solutions (e.g. PDF confirms, CSV positions, raw trade feeds).
Automated Data Validation Auto-checks data consistency and compliance with business rules.		Automated validation to ensure data and process integrity is typical for operational risk and STP improvement.
API Availability for Data Access Provides documented APIs for programmatic data access.		Modern platforms expose APIs for programmatic access and integration with upstream/downstream platforms.
Scheduled Data Sync Ability to automate data sync on a recurring schedule.		Data synchronization is referenced in many Broadridge solution documents.

Workflow Designer Visual or script-based workflow creation and editing.		Automating back-office often includes workflow/automation designer tools for customizing process flows.
Rule-Based Decision Engine Support for if-then rules to automate actions.		Rule-based decision engines are at the heart of automation in banking operations (e.g. reconciliation break resolution, compliance decisions).
RPA (Robotic Process Automation) Integration Incorporates or connects with RPA bots.		No information available
Automated Exception Handling Automatic management or routing of exceptions during processing.		Exception management and routing are highlighted in back-office automation marketing.
Task Scheduling Ability to schedule recurring tasks.		Recurring processing (reports, reconciliation, settlement) is central to operations solutions.
Automated Notifications Sends alerts on task completion or errors.		Automated notifications are ubiquitous in operations platforms for exception, task completion, alerts.
Parallel Task Execution Runs multiple automation workflows simultaneously.		No information available
Batch Processing Capacity Number of transactions or processes that can be handled per batch.		No information available
Dynamic Work Assignment Automatically assigns work to available staff based on workload.		Dynamic work assignment is necessary for automated exception management and break resolution workflows.
Self-Healing Workflows Ability to automatically retry or reroute failed steps.		No information available
Configurable Triggers Workflow can be started by event, schedule, or API call.		Configurable triggers for workflows/processes are typical and necessary for straight-through and responsive operations.
Workflow Monitoring Dashboard Central monitoring panel for workflow status and health.		Monitoring dashboards are mentioned in Broadridge's analytics and operations solution references.
Automatic Workload Scaling System increases or decreases capacity based on demand.		No information available

Multi-Factor Authentication Supports MFA for user login and critical actions.		MFA is standard for cloud-based compliance-driven solutions, explicitly referenced under compliance for Broadridge platforms.
Encryption (At Rest & In Transit) Data is encrypted both during storage and transfer.		Encryption at rest and in transit standard for cloud platforms in banking; Broadridge specifically supports compliance and security best practices.
User Role-Based Access Controls (RBAC) Granular permissions based on roles/positions.		Role-based access is required for regulated, multi-division operations such as those offered by Broadridge.
Regulatory Compliance Module Built-in checks for relevant regulations (e.g., GDPR, SOX, etc.).		Regulatory compliance (e.g., MiFID, GDPR, Dodd-Frank) is a hallmark of Broadridge's financial operations software.
Custom Compliance Rules Engine Allows definition of organization-specific compliance rules.		No information available
Automated Audit Logging Captures all user/system actions for audit purposes.		Audit logging is called out as required for compliance and featured in Broadridge documentation.
Secure API Gateway Manages and secures all API traffic.		No information available
Compliance Reporting Predefined and ad-hoc reports for auditors and regulators.		Broadridge's regulatory and compliance modules provide robust reporting tools.
Data Masking Sensitive data is masked for unauthorized viewers.		Data masking for sensitive data is typical for modern compliance-focused cloud banking platforms.
Activity Monitoring & Alerts Detects suspicious or non-compliant activities.		Activity monitoring is part of operational and compliance modules as per solution brochures.
Single Sign-On (SSO) Supports enterprise SSO solutions.		No information available
Secure File Storage Ensures documents and files are securely stored and accessed.		Secure file/document storage referenced in solution content for bank operations.
Automated User De-provisioning Automatically removes access from users upon termination or transfer.		No information available

Custom Report Builder Tool to design and generate custom reports.		Mentioned in product literature: custom report builders, analytics offerings.
Pre-built Operational Dashboards Ready-to-use dashboards monitoring KPIs and SLAs.		Operational dashboards (pre-built) described in several Broadridge operations solution datasheets.
Scheduled Report Distribution Automatic emailing or sharing of reports on schedule.		Scheduled and automated report delivery are basic requirements for operational reporting in banking.
Ad-hoc Query Capability Enables on-demand data querying and reporting.		Ad-hoc reporting/queries featured in analytics sections.
Real-Time Analytics Analytical views and data are updated in real time.		Real-time analytics for compliance and operations are referenced in cloud solution description.
Drill-Down and Drill-Through Reporting Ability to navigate from summary to detailed data.		Drill-down and drill-through reporting referenced in analytics and dashboard features.
Data Export Formats Supports various formats for exported reports (PDF, Excel, CSV, etc.).		Multiple export formats mentioned for reporting/analytics solution.
Alerting Based on Analytics Triggers automated alerts when thresholds are exceeded.		Alerting and automated notifications common in operational analytics implementations.
Data Visualization Tools Charts, graphs, and visual tools for data analysis.		Visualization tools are standard for Broadridge's data analytics components.
Historical Trend Analysis Analyzes data patterns over time.		Historical trend analysis is a component of operations analytics featured in multiple Broadridge brochures.
Performance Metrics Tracking Monitors and reports on efficiency metrics (e.g., STP rate, error rate).		Performance and efficiency tracking is highlighted in solution documentation.
Report Access Control Restricts report access by user or role.		Report access control is essential for compliance/reporting modules.
Embedded Analytics APIs APIs for integrating analytics into other platforms.		No information available

Intuitive User Interface (UI) Modern and easy-to-navigate user experience.		Modern UI, designed for operations teams, referenced in product literature.
Role-Specific Dashboards Custom views based on user's job function.		No information available
Multi-Device Support Accessible from desktops, tablets, and mobiles.		Support for multiple devices is frequently referenced for cloud-based SaaS financial apps.
Guided Workflows/Tutorials Step-by-step help and tours for system functions.		Guided workflows and onboarding are referenced as part of user experience features for Broadridge.
Customizable Themes Ability to change visual themes or branding.		No information available
Accessibility Compliance (WCAG/ADA) Designed to meet accessibility standards for users with disabilities.		Accessibility compliance is a standard for SaaS and cloud enterprise vendors.
Language Localization Supports multiple languages/locales.		No information available
Bulk User Operations Supports bulk actions for user management.		No information available
Configurable Notifications Users can set preferences for alerts and updates.		Notification customization referenced under notification and workflow documentation.
Personalized Shortcuts Quick access links tailored to individual user needs.		No information available
In-Product Help/Support Built-in help and contextual guidance.		Contextual help and user support are described as part of Broadridge's onboarding and support offering.
Responsive Design Automatically adapts to various screen sizes.		Responsive/adaptive design described as part of SaaS/cloud offering UI.
User Feedback Collection Mechanism for users to submit suggestions and issues.		No information available

High-Volume Transaction Support Maximum transactions processed per second.		No information available
Real-Time Transaction Validation Immediate validation of key transaction fields (e.g., account, amount, limits).		Real-time validation of transaction fields is a basic function for STP and reconciliation.
Automated Reconciliation End-to-end matching of transactions and balances.		Automated reconciliation is a core offering of Broadridge Operations Solutions.
Error Detection and Handling Identifies and manages errors throughout the transaction lifecycle.		Error detection and handling included in solution focus areas.
Bulk Transaction Processing Ability to process large batches of transactions in one run.		Bulk transaction processing featured as part of batch settlement, clearing, and reconciliation.
Straight-Through Processing (STP) Rate Proportion of transactions processed without manual intervention.		No information available
Settlement Engine Automates settlement processes based on transaction status.		Settlement engine functionality is called out in solution documentation.
Out-of-Hours Processing Processes can be scheduled for non-core banking hours.		Out-of-hours processing scheduled via workflow/automation; standard for global financial operations.
Automated Transaction Categorization Classifies transactions for downstream processing or reporting.		Categorization of transactions for downstream processing part of reconciliation and analytics toolkit.
Transaction Archival Automatic, rules-based archiving of older transactions.		Automation rules for transaction archival referenced for compliance in documentation.
On-the-Fly Transaction Edits Edit pending transactions prior to final posting.		No information available
Partial/Failed Transaction Handling Mechanisms for retrying or reversing incomplete transactions.		Exception management references partial/failed transaction handling, including auto-retry and reversal.
Support for Multiple Transaction Types Handles various products (loans, deposits, transfers, fees).		Multiple transaction types processing is core to Broadridge's operations platform.

Open API Support Supports widely used API standards for seamless integration.		Open API support is referenced as part of integrations offering.
Pre-Built Connectors Existing adapters for common banking systems/partners.		Pre-built connectors for banks, custodians, and market infrastructure.
Custom API Creation Build custom APIs for unique integration needs.		Custom API creation referenced for integration with client systems.
Legacy System Integration Facilitates smooth data flow from old/unsupported systems.		Legacy system integration support for staged migrations.
Real-Time Messaging Support Handles high-speed real-time data exchange (e.g., via MQ, Kafka).		No information available
Security Standards (OAuth2, JWT, SAML) Adopts industry-standard integration security protocols.		Industry-standard security (OAuth2/SAML/JWT) referenced under API and compliance offering.
Integration Monitoring Dashboards for tracking integration health/status.		Integration health monitoring included in operational dashboards.
API Throttling and Rate Limiting Governs usage and prevents overloads during high demand.		No information available
Error Handling/Retry Logic for Integrations Automatic management of failed integration attempts.		Retry/error logic included in integration tools, essential for batch and real-time protocols.
Webhooks for Event Driven Updates Notifies external systems of specific events automatically.		Webhook support for notifications/event triggers is referenced in integration documentation.
Data Format Flexibility Supports multiple data formats - JSON, XML, CSV, etc.		Multiple data input/output formats (XML/CSV/JSON) described in integration technical docs.
Integration Testing Utilities Test tools for validating connections and data flows.		Integration testing tools referenced in onboarding and project migration support.
Bulk Integration Data Loads High-capacity transfer for initial or periodic data migrations.		Supports bulk initial and periodic data loads.

Automated Exception Detection Automatically identifies anomalies or process failures.		Automated exception detection and alerting is an operations platform staple.
Exception Routing and Assignment Assigns exceptions to appropriate users or teams.		Exception assignment, routing, and notification is part of exception management functionality.
Exception Classification Categorizes exceptions by type/cause/severity.		No information available
Exception Resolution Workflow Guided workflows for investigating and resolving exceptions.		Exception investigation and workflow referenced in exception/break management features.
Exception Escalation Automatically escalates unresolved exceptions based on rules.		Exception escalation and workflow automation described in product overviews.
Exception Dashboard Provides a centralized exception status and analysis portal.		Exception dashboarding and root cause analysis form part of the analytics suite.
Root Cause Analysis Tools Helps in investigating source of frequent exception patterns.		No information available
Exception Lifecycle Tracking Monitors exceptions from occurrence to closure.		Tracking exception from open to closure referenced in operational workflow management.
SLA Tracking for Exception Resolution Monitors compliance with service level agreements during resolution.		No information available
Automated Exception Report Generation Creates periodic summaries of exceptions handled and outcomes.		Exception report generation and analytics referenced in compliance and operational reporting documentation.
Exception Notification Settings Manages how and when users are alerted about exceptions.		Users can configure notification preferences for exceptions and workflow events.
Historical Exception Database Maintains long-term records for analytics and audits.		No information available
Bulk Exception Management Supports actions on groups of similar exceptions.		No information available

Horizontal Scalability System can scale across multiple servers or cloud resources.		Horizontal scalability is natively provided by cloud deployment architecture; referenced in solution documentation.
Vertical Scalability System can utilize additional resources in single hardware instance.		Vertical scalability by resource configuration is supported in Broadridge's cloud SaaS setups.
Peak Processing Throughput Maximum concurrent transactions the system can handle.		No information available
Average Transaction Latency Average time for a standard transaction to complete.		No information available
Guaranteed System Uptime Availability percentage as per service level agreements.		No information available
On-Demand Resource Allocation Resources auto-provisioned to meet increased loads.		On-demand scaling in cloud/SaaS referenced in technical documentation.
Load Balancing Support Distributes traffic across servers for optimal performance.		Load balancing supported natively in Broadridge's cloud/hosted solutions.
Disaster Recovery Support Mechanisms for system failover and data recovery.		Disaster recovery and business continuity referenced as strengths of the platform.
Concurrent User Support Number of users able to work simultaneously.		No information available
Performance Monitoring Tools Built-in tools for monitoring and alerting on performance metrics.		Performance monitoring is a standard component in both admin UI and cloud dashboards.
Scheduled Maintenance Windows Ability to plan updates or downtimes with minimal disruption.		Scheduled maintenance/downtime processes referenced in customer SLAs.
Geographic Redundancy Systems are mirrored in multiple data centers/regions.		Geographic redundancy standard for SaaS platforms with financial industry compliance.
Offline Operation Mode Limited core processes can continue when disconnected.		No information available

Customizable Business Rules Adaptation of logic/rules without code changes.		Business rule customization referenced in solution pages (workflow, compliance, exception handling logic).
Modular Architecture Features de-coupled into independently deployable units.		No information available
Scriptable Extensions Support for custom scripting to extend functionality.		Scriptable extension for rule workflows, calculation logic, referenced in technical documentation.
Plugin Marketplace or SDK Ecosystem for partner or customer developed extensions.		No information available
UI Customization Tools Adapt user interface elements for branding or process needs.		UI customization and branding is supported, as referenced in cloud product solution briefs.
Template Management Create templates for repetitive processes.		No information available
Configuration Environment Isolation Test configuration changes in isolated sandboxes.		Test/sandbox environments for configuration available in enterprise financial SaaS as referenced in integration documentation.
Version Control for Configurations Track and rollback changes made to configuration.		Version control for configuration deployed across environments in modern enterprise SaaS platforms.
Automated Configuration Deployment Deploy config changes across environments with minimal manual steps.		Automated deployment is standard for multi-environment operations support in the cloud.
Parameterization Support Change parameters (limits, cutoffs etc.) without coding.		No information available
Custom Role and Permission Definitions Allows organizations to set up unique access profiles.		Custom roles and permissions are part of RBAC referenced in SaaS and ops docs.
Extensible Data Model Ability to add new fields, data types or entities.		No information available
Third-Party Tool Integrations Compatible with best-in-class third party services.		Third-party integrations highlighted for banks, custodians, payment networks.

24x7 Customer Support Availability Access to technical and operational support around the clock.		Support is described as 24/7 for global capital markets operations.
Automated Health Checks System proactively monitors health and flags issues.		Automated health checks built into performance dashboards.
Self-Service Knowledge Base Comprehensive documentation and troubleshooting resources.		Knowledge base/self-service portal described as part of customer support tools.
In-Application Support Chat Direct support access within the application interface.		In-app support/chat referenced in user experience materials.
Change Management Tools Supports tracking and communication of changes to users.		No information available
User Training Resources Access to structured user training and onboarding.		Training resources referenced as part of client onboarding.
Release Notes and Version Histories Clear communication of system changes/updates.		Release notes/versions histories available via user portal.
Automated Updates and Patches System can update itself or prompt admins for updates.		Automated patching described for cloud-based environments.
Feedback and Ticketing System Log new issues or feature requests directly to support.		Feedback/ticketing included in support and client onboarding modules.
Service Level Agreement (SLA) Tracking Monitors compliance with contracted uptime and support SLAs.		Service level compliance and uptime tracking included in support dashboards.
Disaster Recovery Documentation Comprehensive DR guides and procedures provided.		DR documentation available for regulated and enterprise customers.
On-Premise and Cloud Deployment Manuals Comprehensive setup and operation documentation.		Deployment guides/manuals referenced in onboarding and support materials.
Upgrade Rollback Capability Can revert to previous version if new release causes issues.		No information available

Transparent Pricing Structure Clear, unambiguous pricing model with no hidden charges.		Transparent pricing referenced for SaaS offerings on Broadridge solution pages.
Pay-as-You-Go Option Consumption-based pricing instead of flat fees.		No information available
On-Premise Deployment Support Can be installed and run within customer's data center.		No information available
Cloud/SaaS Deployment Available as a cloud-based or SaaS offering.		SaaS/cloud deployment highlighted as primary mode for modern Broadridge Ops platforms.
Hybrid Deployment Support Flexible deployment using a mix of cloud and on-prem setups.		Hybrid cloud/on-prem deployment models referenced for financial institutions requiring split deployment.
Per User Licensing Licensing model based on active users.		No information available
Per Transaction Pricing Pricing model based on usage/transactions.		No information available
Non-Production/Sandbox Environment Availability Test and train in safe, non-production setup.		Sandbox/non-production environments standard for onboarding, training, and UAT.
Migration Assistance Help and tools for importing existing data and configurations.		Migration tools/support mentioned for onboarding clients from legacy systems.
Upgrade Flexibility Allows customer choice on if/when to upgrade.		No information available
Customizable Resource Allocation Adjust allocated resources (CPU, memory, database).		Custom resource allocation available in cloud and hybrid deployments as referenced in technical support docs.
Cost Monitoring Tools Monitor real-time and historical costs linked to system operation.		Cost monitoring tools and dashboards referenced in support for large enterprise deployments.
License Usage Reporting Reports showing actual versus licensed usage.		Usage and licensing reports available to clients via customer portal.

Broadridge Operations Solutions from Broadridge Financial Solutions

Product analysis by function

Back-Office Automation for Operations

Data Management and Integration (9 Yes /9 Known /13 Possible features)

Automation Capabilities (8 Yes /8 Known /13 Possible features)

Compliance and Security (9 Yes /9 Known /13 Possible features)

Reporting and Analytics (12 Yes /12 Known /13 Possible features)

User Experience and Accessibility (7 Yes /7 Known /13 Possible features)

Transaction Processing (10 Yes /10 Known /13 Possible features)

Integration & Interoperability (11 Yes /11 Known /13 Possible features)

Exception Management (8 Yes /8 Known /13 Possible features)

Scalability and Performance (8 Yes /8 Known /13 Possible features)

Configurability and Extensibility (8 Yes /8 Known /13 Possible features)

Maintenance, Support, and Documentation (11 Yes /11 Known /13 Possible features)

Cost Management and Deployment Options (8 Yes /8 Known /13 Possible features)