at Financial Technnology Year
Please contact them if you have any questions.
Broadridge Communications Cloud from Broadridge Financial Solutions
Comprehensive client communication platform for brokerages that provides digital document management, personalized communications, regulatory disclosures, and multi-channel delivery options. Features include template management, content personalization, and compliance tracking.
More about Broadridge Financial Solutions
Product analysis by function
Communication Management Systems for Client Services
Tools for managing client communications across multiple channels (email, chat, phone), often with recording and archiving capabilities for compliance purposes.
More Communication Management Systems
More Client Services ...
Channel Support and Integration
(8 Yes /8 Known /11 Possible features)
|
Multi-Channel Support Ability to handle interactions across email, chat, voice/phone, SMS, and social media. |
Broadridge Communications Cloud supports communications via multiple channels including email, print, SMS, and web, as described on the product's website. | |
|
Channel Unification Unified view of all communications regardless of channel. |
Described as offering unified delivery and tracking of communications across channels, meeting the definition of ‘Channel Unification’. | |
|
Channel Switching Ability to switch or escalate conversations between channels seamlessly. |
No information available | |
|
APIs for Channel Integration Availability of APIs for custom integration with new channels. |
Broadridge offers APIs for channel integration, per Broadridge integration documentation and marketing collateral. | |
|
Supported Social Platforms Number of social networks natively supported (e.g., Twitter, LinkedIn, Facebook). |
No information available | |
|
Third-Party Integration Support for integrating third-party messaging and telephony solutions. |
Broadridge supports integration with CRM and third-party messaging systems. | |
|
Mobile Channel Support Capability to support mobile-specific channels and apps. |
Mobile support and optimized communications for mobile channels are offered; confirmed in product literature. | |
|
Automated Distribution Automatic routing of incoming messages to the appropriate agent/team. |
Automated distribution and routing of communications are core features for regulatory and workflow efficiency. | |
|
Outbound Communication Capabilities Ability to initiate outbound calls, emails, or chats from the platform. |
Platform enables outbound client communications, per product overview. | |
|
Omnichannel Inbox A single interface for agents to view all incoming and outgoing messages from every channel. |
Product provides an agent interface that aggregates all communications for review/action. | |
|
Simultaneous Channel Capacity Maximum number of concurrent interactions the system can support across all channels. |
No information available |
Compliance, Recording & Archiving
(9 Yes /9 Known /11 Possible features)
|
Call Recording Automatic recording of voice interactions. |
Call and conversation recording available for regulatory and audit requirements. | |
|
Chat/Email Archiving Archival of written communications for future reference and audit. |
Secure archiving of client chat/email is emphasized as a compliance feature. | |
|
Retention Policy Management Customizable message retention periods to match regulatory mandates. |
Broadridge enables firms to set custom retention policies for communications in line with regulations. | |
|
Searchable Archives Ability to perform keyword or filter-based search through archived communications. |
Search and filter archived communications, marketed as a key discovery/audit feature. | |
|
Secure Storage Data encryption at rest and in transit for archived communications. |
All stored data is encrypted at rest and in transit; referenced in security compliance docs. | |
|
Audit Trails Detailed tracking of communications for auditing purposes. |
Comprehensive audit trail for all client communications; standard for regulatory platforms. | |
|
Export Capabilities Ability to export records or transcripts for regulatory requests. |
Export of messages and records for regulatory or client requests is directly supported. | |
|
Legal Hold Ability to place specific records on legal hold to prevent deletion. |
No information available | |
|
Data Purging Automation Automated deletion of records based on defined retention policies. |
Automated data purging enabled via retention policy management, per product compliance section. | |
|
Compliance Certifications Certified compliance with relevant financial or data privacy regulations. |
SOC 2/ISO certifications and other compliance listings published on Broadridge website. | |
|
Backup Frequency Frequency with which backups of communications are performed. |
No information available |
Performance and Scalability
(4 Yes /4 Known /10 Possible features)
|
Concurrent User Support Maximum number of users that can operate the system simultaneously. |
No information available | |
|
Message Throughput Number of processed messages per second. |
No information available | |
|
Recording Retention Capacity Total duration or count of recordings that can be stored. |
No information available | |
|
Latency System response time for message delivery or retrieval. |
No information available | |
|
Uptime Guarantee Vendor-promised service availability. |
No information available | |
|
Auto Scaling Ability to automatically scale system resources based on demand. |
Auto-scaling of resources referenced as part of their scalable cloud communications architecture. | |
|
Load Balancing Balancing of workloads across server resources to optimize performance. |
Described as using load balancing to ensure optimal performance and resilience. | |
|
Failover and Redundancy Automatic failover and redundancy configurations. |
Failover and redundancy are built into their compliance/disaster-recovery position. | |
|
Disaster Recovery Comprehensive disaster recovery capabilities and tested plans. |
Broadridge offers disaster recovery plans, reviewed by financial institution clients. | |
|
Content Delivery Network (CDN) Use of a CDN for fast global access to stored content and messages. |
No information available |
Security
(8 Yes /8 Known /10 Possible features)
|
End-to-End Encryption Encryption of data in transit and at rest from sender to receiver. |
Communications are encrypted end-to-end for data in transit and at rest. | |
|
Multi-Factor Authentication MFA for agent and administrator access. |
Multi-factor authentication is provided as standard for user/admin access. | |
|
Role-Based Access Control Granular user permission management based on roles. |
Role-based access controls are required and supported for brokerage platforms. | |
|
SOC 2/ISO 27001 Certification Industry-standard security certifications. |
SOC 2/ISO 27001 certifications listed directly on Broadridge website. | |
|
Single Sign-On (SSO) Ability to log in using a firm’s SSO infrastructure. |
Single sign-on is supported, per integration documentation. | |
|
Intrusion Detection System (IDS) Monitoring for and alerting of suspicious or unauthorized activities. |
Broadridge offers intrusion detection and monitoring as part of their hosted security stack. | |
|
Granular Audit Logs Detailed system activity logging for access and events. |
Granular audit logging of all system and user activity is supported for regulatory audit. | |
|
Data Loss Prevention (DLP) Enforcement of policies to prevent unauthorized data sharing. |
No information available | |
|
Automatic Session Timeout Automatic logout after a specified period of inactivity. |
No information available | |
|
Custom Security Policies Ability to define firm-specific security policies. |
Ability for clients to define custom notification rules and policies is mentioned in product customization materials. |
Agent Productivity and Workflow
(9 Yes /9 Known /10 Possible features)
|
Unified Agent Dashboard A single workspace displaying all client interactions, case history, and tasks. |
Unified dashboard aggregating all client communication is a standard workflow feature. | |
|
Automated Task Assignment Automatic routing of cases or queries to the most appropriate agent/team. |
Automated task assignment and routing are supported to ensure timely communications management. | |
|
Macros and Templates Pre-defined responses or templates for frequent client interactions. |
Macros/templates for personalized and compliant communications are emphasized in documentation. | |
|
CRM Integration Native or API-based integration with customer relationship management systems. |
Native integration with major CRMs is offered, via API and partner connectors. | |
|
Case Management System for managing open/closed client requests and issues. |
Case/ticket management is part of issue resolution workflow as described in product collateral. | |
|
Internal Chat/Collaboration Channel for agents to communicate internally without leaving the platform. |
Internal chat/collaboration supported for agent workflow efficiency. | |
|
Notifications and Alerts Real-time notifications for new messages or urgent action items. |
Notifications and alerts for urgent communications/events central to workflow. | |
|
Automated Follow-Up Automated reminders or follow-up tasks for pending topics. |
No information available | |
|
Workflow Customization Ability to define and automate unique workflows or escalation processes. |
All client communication workflows can be automated/customized, per platform capabilities. | |
|
Search and Filter Functions Fast, multi-parameter searching and filtering of communication records. |
Robust search and filter functionality for archives and workflow queues described in product specs. |
Client Experience and Self-Service
(8 Yes /8 Known /10 Possible features)
|
Client Portal Access Clients can log in to view past correspondence, statements, and open tickets. |
Clients can access a portal to view historic statements, disclosures, and message history. | |
|
Self-Service Knowledge Base A searchable database of FAQs and support articles. |
Extensive searchable FAQ/knowledge base available for end-clients and users. | |
|
Automated Chatbots Intelligent bots to answer common questions or route more complex inquiries. |
No information available | |
|
Personalization Options Custom greetings, tailored content, and preferences for communication. |
Personalization options (content, greetings, document layouts) available. | |
|
Secure Document Sharing Ability for clients to securely send/receive documents via the platform. |
Secure document sharing between firm and client available; referenced under digital document delivery/management. | |
|
Response Time SLA Average response time guaranteed for client communications. |
No information available | |
|
Real-Time Status Updates Clients receive real-time updates on the status of their inquiries. |
Real-time status update feature for disclosures and message delivery status. | |
|
Multilingual Support Support for multiple languages in interfaces and communications. |
Broadridge supports multi-lingual delivery as required by global clients. | |
|
Accessibility Standards Compliance Adherence to accessibility standards such as WCAG/ADA. |
Accessibility (ADA/WCAG) compliance described in platform compliance documentation. | |
|
Mobile Access for Clients Optimized mobile experience for client-side interaction. |
Mobile-optimized client access detailed in product documentation. |
Integration and API Ecosystem
(8 Yes /8 Known /10 Possible features)
|
Open APIs Availability of open APIs for integration with in-house or third-party applications. |
Extensive open API support for integrations, cited in developer and integration sections. | |
|
Webhooks Support Ability to push real-time data and updates to other systems. |
Webhooks supported for real-time push into external systems, as confirmed in integration tools. | |
|
Pre-built Integrations Out-of-the-box connectors to popular CRM, ERP, and compliance platforms. |
Pre-built integration with CRMs and compliance systems cited on feature lists. | |
|
Event-Driven Architecture System supports event-driven integrations for real-time actions. |
Event-driven integration (such as 'on message received') is supported by Broadridge APIs. | |
|
Data Import/Export Tools Built-in utilities for importing or exporting data in multiple formats. |
Data import/export tools provided for onboarding and legacy data migration. | |
|
Integration Documentation Quality Comprehensiveness and clarity of provided integration documentation. |
Developer materials praised by users for quality and completeness. | |
|
Custom Scripting/Extensions Ability to add custom logic or workflows through scripting. |
No information available | |
|
Authentication Protocol Support Support for OAuth2, SAML, and similar secure authentication frameworks. |
OAuth2/SAML supported per authentication documentation. | |
|
Batch Processing Support for large-scale/batch data operations via API. |
Batch processing via API available for transmitting bulk documents/messages. | |
|
Integration Rate Limits Maximum API calls allowed per hour. |
No information available |
Reporting and Analytics
(9 Yes /9 Known /10 Possible features)
|
Real-Time Dashboards Live reporting on key communications metrics. |
Dashboarding and live reporting available; demonstrated on solution's web landing page. | |
|
Custom Report Builder Creation of ad-hoc or scheduled custom reports. |
Custom/ad-hoc reporting supported; custom report builder available. | |
|
Predefined Compliance Reports Standard reports for regulatory compliance. |
Preconfigured compliance reports are a staple feature as referenced on site. | |
|
Export to PDF/Excel Ability to export analytics and reports in common formats. |
Export to PDF/Excel supported for all reports and analytics. | |
|
Agent Performance Metrics Measurement of agent-specific KPIs (response time, resolution rate). |
Agent performance analytics for SLAs and responsiveness mentioned in user documentation. | |
|
Client Satisfaction Surveys Integrated collection and reporting of client satisfaction ratings. |
Satisfaction survey tools can be embedded in communications or client portals. | |
|
Data Visualization Tools Built-in graphs, charts, and heatmaps for insights. |
Data visualization with charts/graphs included in analytics dashboards. | |
|
Scheduled Reporting Ability to set and automate report generation schedules. |
Automated/scheduled reporting (daily/monthly/quarterly) supported. | |
|
Drill-Down Analytics Capability to drill down from summary to detailed records. |
Users can drill into summary and detail data in dashboard views. | |
|
Historic Data Retention Number of months/years historical data is retained for analytics. |
No information available |
Artificial Intelligence and Automation
(5 Yes /5 Known /10 Possible features)
|
AI-Based Routing Intelligent assignment of cases/messages based on context and agent skills. |
No information available | |
|
Automated Compliance Monitoring AI to identify and flag potential compliance violations in real time. |
No information available | |
|
Speech-to-Text Transcription Automated transcription of voice calls for record-keeping and analysis. |
No information available | |
|
Sentiment Analysis Analysis of client sentiment and escalation based on message content. |
Sentiment analysis and message escalation are offered to brokerages for proactive customer service. | |
|
Auto-Categorization/Tagging Automated tagging of communications for classification and search. |
Tagging and classification of communications for audit/search via automation is detailed in workflow documentation. | |
|
Suggested Responses AI-driven recommended replies and next best actions for agents. |
Suggested response templates and next steps shown to agents for efficiency and compliance. | |
|
Fraud Detection Real-time AI screening for fraud or anomalous interactions. |
No information available | |
|
Bulk Outbound Campaigns Automated bulk messaging for compliance or marketing (with permission). |
Bulk campaign tools available for marketing/compliance updates (pending opt-in permissions). | |
|
Workflow Automation Automatic triggering of workflows from specific communication events. |
Workflow automation is referenced throughout product documentation. | |
|
Custom ML Model Integration Support for integrating custom machine learning models. |
No information available |
Customization and Branding
(9 Yes /9 Known /10 Possible features)
|
Custom UI Themes Ability to apply the firm’s brand colors, logos, and interface layouts. |
Customizable UI per firm branding provided as part of product enablement. | |
|
Configurable Workflows Ability to customize workflows to internal processes. |
Workflows are configurable to client process needs per platform guides. | |
|
Custom Notification Rules Define alert and notification logic to suit business needs. |
Custom notification rules are part of workflow/alert settings. | |
|
Modular Feature Enablement Turn modules on/off as needed for specific user groups. |
Features/modules can be enabled/disabled by client; described in admin controls. | |
|
Custom Portal Domains Branded portal/domain for client-facing interfaces. |
Branded portals/domains are supported for wealth clients. | |
|
Localization Support Customize system language, time zone, and regional settings. |
Localization is available for language, time zone, and regional settings. | |
|
Personalized Reporting Dashboards Enable each user/role to have a custom analytics homepage. |
Reporting dashboards can be personalized for agents, admins, and client firms. | |
|
UI Widgets/Extensions Support for custom UI widgets or plugin extensions. |
No information available | |
|
White-labeling Options Remove vendor branding for full white-label deployment. |
White-labeling is available; broker/dealer branding can replace Broadridge branding. | |
|
Custom Form Builders Drag-and-drop or API-based creation of custom data capture forms. |
Drag-and-drop form builder included for custom data capture in client onboarding. |
Support & Vendor Management
(10 Yes /10 Known /10 Possible features)
|
24/7 Support Availability Access to live support at all times. |
24/7 support provided, as stated on support/services page. | |
|
Dedicated Account Manager Named support representative for each client. |
Dedicated account managers offered as part of standard client support, especially for enterprise/brokerage. | |
|
Comprehensive Onboarding and Training Structured onboarding and training programs for firm users. |
Structured onboarding, training, and certifications provided for all users and client organizations. | |
|
User Community/Forums Online user communities for knowledge sharing. |
Broadridge user community/forum accessible for shared learning and product tips. | |
|
Service Level Agreement (SLA) Contractually defined levels of support and uptime. |
Service Level Agreements are contractually defined and published as standard. | |
|
Self-Service Documentation Extensive user manuals, FAQs, and troubleshooting guides. |
Self-service documentation (user guides, FAQs) available online and via client support. | |
|
Multi-Tier Support Plans Offering of basic, advanced, and premium support levels. |
Multiple tiers of support plans are provided (standard, premium, etc.). | |
|
Customer Success Programs Proactive programs to drive adoption and best practices. |
Customer success programs with a focus on client onboarding and best practices highlighted by Broadridge. | |
|
Regular Product Updates Frequent enhancements and bug fixes. |
Frequent product updates announced in release notes and client communications. | |
|
Third-Party Audit Reports Availability of security, compliance, or performance audit documentation. |
SOC2/ISO 27001/security audit reports are available to clients and due diligence processes. |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.