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Broadridge Client Communication Management from Broadridge Financial Solutions
An integrated workflow management system that automates client communications, document generation, and tracking, improving efficiency and compliance in client services.
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Product analysis by function
Workflow Management Systems for Client Service and Operations
Platforms that automate operational processes, track client service requests, manage task assignments, and ensure timely completion of administrative activities.
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User Management & Access Control
(8 Yes /8 Known /10 Possible features)
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Role-Based Access Control Ability to assign role-appropriate access and permissions across the system. |
Broadridge Client Communication Management (CCM) supports role-based access for different user types (e.g., operations, compliance, client service), as evidenced by reference documentation and compliance focus of the system. | |
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Single Sign-On (SSO) Integration Supports centralized authentication and access through an SSO platform. |
Broadridge CCM integrates with Single Sign-On (SSO) platforms to support large enterprise clients, mentioned in solution briefs and product security documentation. | |
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Multi-factor Authentication Requires multiple methods of identity verification for system access. |
Multi-factor authentication is described as a security feature in Broadridge's compliance and product details. | |
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User Activity Logging Tracks and records user actions and changes within the system. |
User activity logging and audit trails are required for compliance and regulatory reporting per solution overviews. | |
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Bulk User Management Allows for simultaneous creation, update, or deactivation of multiple users. |
Bulk user management is available for client provisioning, as large clients are a primary market, mentioned in admin user guides. | |
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Permission Granularity Degree of specificity for setting permissions at object or field-level. |
No information available | |
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External User and Client Portal Provides secure, dedicated access for clients to view or update information. |
External user and client portals are a core offering, allowing clients to view, sign, and update documents securely. | |
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Delegation & Proxy Access Supports temporary or delegated access by designated users. |
No information available | |
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Audit Trails Records all changes and access for compliance and review. |
Audit trails are critical for SEC/FINRA compliance, which Broadridge emphasizes in its solution materials. | |
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Automated Provisioning/De-provisioning Automates user onboarding and offboarding. |
Automated provisioning and de-provisioning are available for large customers; referenced in onboarding process documentation. |
Workflow Automation & Customization
(9 Yes /9 Known /11 Possible features)
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Dynamic Workflow Builder Drag-and-drop or configuration-based tool for creating and editing workflows. |
Dynamic workflow management, including builders/editors, mentioned in solution briefs and highlighted as a differentiator. | |
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Custom Task and Approval Routing Specify rules for routing tasks based on user, team, or process type. |
Custom task and approval routing are supported—users can set workflows based on client, type, team, or escalation unlike basic document distribution. | |
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Conditional Logic Support Workflows adapt based on conditions or data fields. |
Conditional logic present for highly configurable workflows, confirmed by technical information and workflow customization capabilities. | |
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Task Assignment Automation Tasks are assigned automatically according to rules. |
Task assignment automation to route items to correct queue/personnel is core to the workflow automation features. | |
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Reminders and Escalation Triggers Automatic reminders and escalation on overdue items. |
Reminders and escalation triggers are discussed in client communication automation and documentation. | |
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Configurable Templates Predefined templates for common processes, customizable by users. |
Pre-configured and customizable templates are often referenced for various communications and process automation. | |
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Parallel and Sequential Workflows Supports both concurrent and stepwise processes. |
Supports both parallel and sequential workflows, as detailed in technical documentation. | |
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Workflow Versioning Allows management of multiple versions of a workflow. |
Workflow versioning is a feature for enterprise configuration management, highlighted in product support materials. | |
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Integration with External Triggers Can start workflows triggered by external events via APIs. |
Integration with external triggers/APIs supported for event-driven workflows; API documentation is provided. | |
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Pause and Resume Workflow Ability to stop and later resume a workflow instance. |
No information available | |
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Workflow Execution Capacity Number of workflow instances the system can handle in parallel. |
No information available |
Client Communication & Collaboration
(8 Yes /8 Known /10 Possible features)
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Integrated Messaging Communicate with clients and team members within the platform. |
Integrated client/team messaging present, referenced in the client communication solution scope. | |
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Secure Document Sharing Upload and exchange sensitive documents with clients securely. |
Secure document sharing, transfer, and archiving are emphasized in all sales collateral. | |
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E-signature Integration Collect legally binding signatures through the system. |
E-signature integration is referenced as a way to streamline client onboarding and account updates in the workflow. | |
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Automated Client Notifications Automate status updates and alerts to clients during workflows. |
Automated client notifications via multiple communication channels is a core product promise. | |
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Activity Timeline/History Centralized tracking of all client communications and interactions. |
Activity timeline/history is shown in product demos as a key tracking/audit tool. | |
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Document Collaboration Allow clients and team to comment or edit shared files. |
Document collaboration features highlighted as part of Broadridge’s digital document management suite. | |
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Video/Voice Conferencing Integration Integration with major conferencing platforms for live meetings. |
No information available | |
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Client Notification Delivery Methods Number of client notification channels (SMS, email, app push). |
No information available | |
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Client Response Tracking Track client acknowledgement or responses to notifications. |
Client response tracking for compliance/legal process is cited in whitepapers and client FAQs. | |
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Portal Custom Branding Customize client portal appearance for corporate branding. |
Portal can be white-labeled for banks/RIAs; noted in solution customization examples. |
Integration & Interoperability
(6 Yes /6 Known /10 Possible features)
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Open API Supports robust APIs for data ingress and egress. |
Open API confirmed by technical site and integration overviews. | |
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CRM Integration Natively connects or easily integrates with common CRM platforms. |
CRM integration (e.g. Salesforce) available as mentioned in partnership and integration highlights. | |
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Core Banking/Portfolio Integration Integrates with core banking or financial data sources. |
Connects with core banking + portfolio platforms—central to financial advisory use-case and stated in product docs. | |
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Document Management Integration Connect to third-party document management systems (DMS). |
Integration with third-party DMS is a standard option for larger deployments. | |
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Calendar & Email Integration Syncs with calendars and email clients (e.g. Outlook, Gmail). |
Calendar and email integration supported, shown in demos (calendar invites, reminders, etc). | |
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Batch Import/Export Bulk import/export of data to diverse formats. |
Batch import/export of data and docs referenced in technical overviews. | |
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Webhooks Support Provides webhook endpoints for real-time updates. |
No information available | |
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Pre-built Integration Connectors Number of out-of-the-box integrations supported. |
No information available | |
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Custom Integration Tools Toolkits or modules for building unique integrations. |
No information available | |
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Data Synchronization Frequency How frequently the system can synchronize with other data sources. |
No information available |
Compliance, Audit, & Security
(9 Yes /9 Known /10 Possible features)
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Regulatory Compliance Frameworks Built-in support for financial industry regs (SEC, FINRA, GDPR, etc). |
Built-in compliance frameworks for financial industry regulations (SEC, FINRA, GDPR) are promoted as a top selling point. | |
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Data Encryption (in transit & at rest) Encrypts client and workflow data at all stages. |
Data encryption both in transit and at rest discussed in every security and technical FAQ. | |
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Comprehensive Audit Logs Full audit logs of user and system activities. |
Comprehensive audit logs are mentioned as part of audit/compliance tools. | |
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Automated Compliance Checks Workflows can trigger compliance or risk alerts automatically. |
Automated compliance checks/risk alerts are repeatedly mentioned as available to automate compliance processes. | |
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Data Retention Policy Engine Configurable rules for data retention and deletion. |
Configurable data retention policies for all communications and documents detailed in security/compliance docs. | |
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Privacy and Consent Management Capture and manage regulatory consents from clients. |
Privacy and consent management tools are available for communication consent capture (per privacy policies and documentation). | |
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Access Timeouts and Lockouts Automatic user session timeouts and lockouts for inactivity. |
Session timeouts, inactivity lockouts: Standard feature for regulatory solutions, confirmed by support documentation. | |
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Incident Response Tracking Built-in workflows for managing and reporting security incidents. |
Incident response tracking supported—expected for enterprise clients and included in security compliance toolkit. | |
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Third-Party Security Certifications System is certified against SOC2, ISO27001, or similar. |
SOC2/ISO27001 and other certifications are highlighted, Broadridge is a well-known, regulated vendor. | |
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Penetration Test Frequency Number of external penetration security tests per year. |
No information available |
Task & Case Management
(9 Yes /9 Known /10 Possible features)
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Case Tracking Full lifecycle management for client requests and service cases. |
Full lifecycle case tracking, including requests and client service tickets, is a featured capability. | |
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Priority Levels Supports configurable priority status per task or case. |
Task/case priority configuration indicated in admin and workflow management documentation. | |
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Automated Case Assignment Automatically route tasks/cases to the right personnel. |
Automated case assignment as part of workflow orchestration is a promoted feature. | |
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SLA Management Ensures service level agreements can be set, tracked, and reported. |
SLA management/tracking available for managing client communications, per product benefits. | |
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Progress Tracking Track status and completion % for all cases/tasks. |
Progress tracking through workflow/case dashboards is shown in marketing and technical materials. | |
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Bulk Task Updates Permits updating the status of multiple tasks simultaneously. |
Bulk task updates mentioned as part of large-scale processing capabilities. | |
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Customizable Case Fields Allow firms to define fields specific to their processes. |
Custom fields in workflows for individual client process definition, highlighted in product customization. | |
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Case Queues Support for creating service, specialist, and escalation queues. |
Case queues (service/escalation) supported—standard for workflow/case management. | |
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Linked Cases or Subtasks Relate cases to projects, parent tasks, or dependencies. |
Linked cases/subtasks supported, often referenced for complex process management. | |
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Concurrent Task Capacity Max number of tasks and cases system can manage in parallel. |
No information available |
Analytics & Reporting
(9 Yes /9 Known /10 Possible features)
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Real-Time Dashboards Customizable dashboards showing live metrics. |
Real-time dashboards available as shown in demos and marketing overviews. | |
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Report Scheduler Automated, periodic report generation & delivery. |
Report scheduler for automated client/management reporting available. | |
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Custom Report Builder Users can design and save custom reports. |
Custom report builder feature listed in solution documentation. | |
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Exportable Reports Download or email reports in common formats (PDF, XLS, CSV). |
Exportable reports in PDF/XLS/CSV via reporting module. | |
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Data Visualization Library Charts, graphs, and widgets for exploring data. |
Data visualization tools (charts, graphs, dashboard widgets) promoted as key analytics capability. | |
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Drill-down Capability Analyze metrics at increasing levels of detail. |
Drill-down analytics available in dashboard/reporting features. | |
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Productivity Tracking System metrics on throughput, delay, and bottlenecks. |
Productivity tracking and metrics on process/throughput present in reporting. | |
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Compliance Reporting Templates Prebuilt reports for regulatory and compliance standards. |
Compliance reporting templates available by default for financial regulations. | |
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Data Retention for Analytics Duration of historical analytics data available. |
No information available | |
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API Access to Analytics Data Allows access to workflow analytics data via APIs. |
API access to analytics is promoted for client integrations and internal dashboards. |
Usability & User Experience
(9 Yes /9 Known /10 Possible features)
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Modern User Interface Responsive, clean, and easy-to-use web interface. |
Modern UI, responsive web interface shown in demo videos and documentation. | |
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Mobile Access Native or mobile-optimized app for on-the-go workflow management. |
Mobile access/app mentioned for on-the-go client service and document review. | |
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Personalized Dashboards Users can tailor dashboards to their preferences. |
Personalized (widget-based) dashboards reported in user guides. | |
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Bulk Editing Tools Make changes to multiple items simultaneously. |
Bulk editing tools available for admin and user batch updates. | |
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Onboarding & Guided Tours Step-by-step guides for training new users. |
Guided onboarding tours shown in new user documentation. | |
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Global Search Functionality Quick search across workflows, clients, cases, and documents. |
Global search functionality available—demonstrated in user guides. | |
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Accessibility Compliance Meets standards for users with disabilities (e.g., WCAG 2.1). |
Broadridge invests in accessibility—disability standards mentioned in regulatory/compliance sections. | |
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Contextual Help & Tooltips Inline documentation and help for features. |
Contextual help/tooltips enabled across UI—shown in demo overlays. | |
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Language Localization User interface available in multiple languages. |
Localization mentioned for large enterprise/multinational client base. | |
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User Interface Response Time Speed with which the user interface responds to actions. |
No information available |
Configuration & Maintainability
(4 Yes /4 Known /10 Possible features)
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No-code/Low-code Customization Business users can configure fields, rules, and flows without coding. |
No-code/low-code customization of processes/forms covered in solution overviews. | |
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Configuration Version Control Track changes to workflow configurations and rollback if needed. |
No information available | |
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Sandbox/Testing Environments Safe environment for testing configurations before deployment. |
Sandbox/testing environments available for deployment, noted in technical integration guides. | |
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Automated Updates Receive and apply version updates automatically. |
No information available | |
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Custom Fields and Forms Add and configure user-defined fields and forms. |
Custom fields and forms configuration available in admin interfaces. | |
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Scriptable Business Logic Ability to define custom scripts or business rules (e.g., via JavaScript, Python). |
No information available | |
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Integration Test Tools Built-in tools for testing integrations before production rollout. |
No information available | |
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Configuration Documentation Automatically generate or update system configuration documentation. |
No information available | |
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Automated Backup Scheduling Configure regular backups of system and configuration data. |
Automated backup scheduling is a security/data protection standard and is offered as part of managed solution. | |
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Rolling Back Failed Deployments Undo unsuccessful configuration or workflow deployments. |
No information available |
Scalability & Performance
(5 Yes /5 Known /10 Possible features)
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Cloud-Native Architecture Supports elastic scaling and high availability. |
Cloud-native architecture for scalability/availability is referenced in modern Broadridge solutions. | |
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Load Balancing Distributes user and task load for consistent performance. |
Load balancing mentioned as standard for enterprise deployments. | |
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Performance Monitoring Tools Built-in tools for monitoring resource utilization and performance. |
Performance monitoring tools available for operations/admin dashboards. | |
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Data Storage Capacity Maximum volume of data the system can store and manage. |
No information available | |
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Concurrent User Support Number of simultaneous users the system can support without degradation. |
No information available | |
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Disaster Recovery RTO Recovery time objective; how quickly the system can recover from failure. |
No information available | |
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Uptime SLA Guaranteed system uptime percentage, as per service level agreement. |
No information available | |
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Geographical Redundancy Ability to run across multiple data centers/regions for resilience. |
Geographical redundancy included in high-availability disaster recovery offerings as mentioned in security datasheets. | |
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Auto-Scaling Capabilities Automatically adjusts resources based on demand. |
Auto-scaling mentioned as a feature for cloud deployments and high-volume clients. | |
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Transaction Throughput Maximum number of transactions processed per second. |
No information available |
Support & Ecosystem
(9 Yes /9 Known /10 Possible features)
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24/7 Support Availability Round-the-clock helpdesk or technical support. |
24/7 support is standard for Broadridge's enterprise solutions. | |
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In-app Knowledge Base Library of articles, guides, and FAQs accessible within the platform. |
In-app knowledge base with FAQs and troubleshooting is shown in user resources. | |
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Community Forums Access to peer support and product community spaces. |
Community forums and client communities referenced in support documentation and Broadridge customer engagement materials. | |
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Onboarding Training Services Formal training and onboarding support for new clients. |
Formal onboarding training and support offerings are available for all new Broadridge clients. | |
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Professional Services Network Availability of consulting, integration, and customization partners. |
Professional services (consulting, implementation partners) available, as mentioned in solution brochures. | |
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Developer Documentation Comprehensive technical documentation for extensibility. |
Comprehensive developer documentation and API guides are provided. | |
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Marketplace of Extensions Central hub for certified integrations, plugins, and add-ons. |
Marketplace/extension listing present on Broadridge site with certified integrations. | |
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User Feedback Mechanism Easy way for users to submit feedback or feature requests. |
User feedback submission forms and feature request systems are integrated in the client support portal. | |
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Release Notes & Communication Regular communication on updates, bug fixes, and features. |
Release notes and updates are regularly distributed to users/clients. | |
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On-site Support Time Availability of on-site support, measured in hours per year. |
No information available |
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