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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.
More about Broadridge Financial Solutions
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
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Data Management and Integration
(9 Yes /9 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. | |
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Real-Time Data Sync Latency of data updates between systems. |
No information available | |
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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. | |
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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. | |
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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. | |
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Data Lineage Tracking Tracks flow and source of data through various processes. |
No information available | |
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Change Data Capture (CDC) Ability to detect and process changes in data as they happen. |
No information available | |
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Data Retention Control Customisable retention policies for historical data. |
No information available | |
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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. | |
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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). | |
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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. | |
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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. | |
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Scheduled Data Sync Ability to automate data sync on a recurring schedule. |
Data synchronization is referenced in many Broadridge solution documents. |
Automation Capabilities
(8 Yes /8 Known /13 Possible features)
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Workflow Designer Visual or script-based workflow creation and editing. |
Automating back-office often includes workflow/automation designer tools for customizing process flows. | |
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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). | |
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RPA (Robotic Process Automation) Integration Incorporates or connects with RPA bots. |
No information available | |
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Automated Exception Handling Automatic management or routing of exceptions during processing. |
Exception management and routing are highlighted in back-office automation marketing. | |
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Task Scheduling Ability to schedule recurring tasks. |
Recurring processing (reports, reconciliation, settlement) is central to operations solutions. | |
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Automated Notifications Sends alerts on task completion or errors. |
Automated notifications are ubiquitous in operations platforms for exception, task completion, alerts. | |
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Parallel Task Execution Runs multiple automation workflows simultaneously. |
No information available | |
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Batch Processing Capacity Number of transactions or processes that can be handled per batch. |
No information available | |
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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. | |
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Self-Healing Workflows Ability to automatically retry or reroute failed steps. |
No information available | |
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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. | |
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Workflow Monitoring Dashboard Central monitoring panel for workflow status and health. |
Monitoring dashboards are mentioned in Broadridge's analytics and operations solution references. | |
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Automatic Workload Scaling System increases or decreases capacity based on demand. |
No information available |
Compliance and Security
(9 Yes /9 Known /13 Possible features)
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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. | |
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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. | |
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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. | |
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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. | |
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Custom Compliance Rules Engine Allows definition of organization-specific compliance rules. |
No information available | |
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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. | |
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Secure API Gateway Manages and secures all API traffic. |
No information available | |
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Compliance Reporting Predefined and ad-hoc reports for auditors and regulators. |
Broadridge's regulatory and compliance modules provide robust reporting tools. | |
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Data Masking Sensitive data is masked for unauthorized viewers. |
Data masking for sensitive data is typical for modern compliance-focused cloud banking platforms. | |
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Activity Monitoring & Alerts Detects suspicious or non-compliant activities. |
Activity monitoring is part of operational and compliance modules as per solution brochures. | |
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Single Sign-On (SSO) Supports enterprise SSO solutions. |
No information available | |
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Secure File Storage Ensures documents and files are securely stored and accessed. |
Secure file/document storage referenced in solution content for bank operations. | |
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Automated User De-provisioning Automatically removes access from users upon termination or transfer. |
No information available |
Reporting and Analytics
(12 Yes /12 Known /13 Possible features)
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Custom Report Builder Tool to design and generate custom reports. |
Mentioned in product literature: custom report builders, analytics offerings. | |
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Pre-built Operational Dashboards Ready-to-use dashboards monitoring KPIs and SLAs. |
Operational dashboards (pre-built) described in several Broadridge operations solution datasheets. | |
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Scheduled Report Distribution Automatic emailing or sharing of reports on schedule. |
Scheduled and automated report delivery are basic requirements for operational reporting in banking. | |
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Ad-hoc Query Capability Enables on-demand data querying and reporting. |
Ad-hoc reporting/queries featured in analytics sections. | |
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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. | |
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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. | |
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Data Export Formats Supports various formats for exported reports (PDF, Excel, CSV, etc.). |
Multiple export formats mentioned for reporting/analytics solution. | |
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Alerting Based on Analytics Triggers automated alerts when thresholds are exceeded. |
Alerting and automated notifications common in operational analytics implementations. | |
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Data Visualization Tools Charts, graphs, and visual tools for data analysis. |
Visualization tools are standard for Broadridge's data analytics components. | |
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Historical Trend Analysis Analyzes data patterns over time. |
Historical trend analysis is a component of operations analytics featured in multiple Broadridge brochures. | |
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Performance Metrics Tracking Monitors and reports on efficiency metrics (e.g., STP rate, error rate). |
Performance and efficiency tracking is highlighted in solution documentation. | |
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Report Access Control Restricts report access by user or role. |
Report access control is essential for compliance/reporting modules. | |
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Embedded Analytics APIs APIs for integrating analytics into other platforms. |
No information available |
User Experience and Accessibility
(7 Yes /7 Known /13 Possible features)
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Intuitive User Interface (UI) Modern and easy-to-navigate user experience. |
Modern UI, designed for operations teams, referenced in product literature. | |
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Role-Specific Dashboards Custom views based on user's job function. |
No information available | |
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Multi-Device Support Accessible from desktops, tablets, and mobiles. |
Support for multiple devices is frequently referenced for cloud-based SaaS financial apps. | |
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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. | |
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Customizable Themes Ability to change visual themes or branding. |
No information available | |
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Accessibility Compliance (WCAG/ADA) Designed to meet accessibility standards for users with disabilities. |
Accessibility compliance is a standard for SaaS and cloud enterprise vendors. | |
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Language Localization Supports multiple languages/locales. |
No information available | |
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Bulk User Operations Supports bulk actions for user management. |
No information available | |
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Configurable Notifications Users can set preferences for alerts and updates. |
Notification customization referenced under notification and workflow documentation. | |
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Personalized Shortcuts Quick access links tailored to individual user needs. |
No information available | |
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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. | |
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Responsive Design Automatically adapts to various screen sizes. |
Responsive/adaptive design described as part of SaaS/cloud offering UI. | |
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User Feedback Collection Mechanism for users to submit suggestions and issues. |
No information available |
Transaction Processing
(10 Yes /10 Known /13 Possible features)
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High-Volume Transaction Support Maximum transactions processed per second. |
No information available | |
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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. | |
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Automated Reconciliation End-to-end matching of transactions and balances. |
Automated reconciliation is a core offering of Broadridge Operations Solutions. | |
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Error Detection and Handling Identifies and manages errors throughout the transaction lifecycle. |
Error detection and handling included in solution focus areas. | |
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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. | |
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Straight-Through Processing (STP) Rate Proportion of transactions processed without manual intervention. |
No information available | |
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Settlement Engine Automates settlement processes based on transaction status. |
Settlement engine functionality is called out in solution documentation. | |
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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. | |
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Automated Transaction Categorization Classifies transactions for downstream processing or reporting. |
Categorization of transactions for downstream processing part of reconciliation and analytics toolkit. | |
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Transaction Archival Automatic, rules-based archiving of older transactions. |
Automation rules for transaction archival referenced for compliance in documentation. | |
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On-the-Fly Transaction Edits Edit pending transactions prior to final posting. |
No information available | |
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Partial/Failed Transaction Handling Mechanisms for retrying or reversing incomplete transactions. |
Exception management references partial/failed transaction handling, including auto-retry and reversal. | |
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Support for Multiple Transaction Types Handles various products (loans, deposits, transfers, fees). |
Multiple transaction types processing is core to Broadridge's operations platform. |
Integration & Interoperability
(11 Yes /11 Known /13 Possible features)
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Open API Support Supports widely used API standards for seamless integration. |
Open API support is referenced as part of integrations offering. | |
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Pre-Built Connectors Existing adapters for common banking systems/partners. |
Pre-built connectors for banks, custodians, and market infrastructure. | |
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Custom API Creation Build custom APIs for unique integration needs. |
Custom API creation referenced for integration with client systems. | |
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Legacy System Integration Facilitates smooth data flow from old/unsupported systems. |
Legacy system integration support for staged migrations. | |
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Real-Time Messaging Support Handles high-speed real-time data exchange (e.g., via MQ, Kafka). |
No information available | |
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Security Standards (OAuth2, JWT, SAML) Adopts industry-standard integration security protocols. |
Industry-standard security (OAuth2/SAML/JWT) referenced under API and compliance offering. | |
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Integration Monitoring Dashboards for tracking integration health/status. |
Integration health monitoring included in operational dashboards. | |
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API Throttling and Rate Limiting Governs usage and prevents overloads during high demand. |
No information available | |
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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. | |
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Webhooks for Event Driven Updates Notifies external systems of specific events automatically. |
Webhook support for notifications/event triggers is referenced in integration documentation. | |
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Data Format Flexibility Supports multiple data formats - JSON, XML, CSV, etc. |
Multiple data input/output formats (XML/CSV/JSON) described in integration technical docs. | |
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Integration Testing Utilities Test tools for validating connections and data flows. |
Integration testing tools referenced in onboarding and project migration support. | |
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Bulk Integration Data Loads High-capacity transfer for initial or periodic data migrations. |
Supports bulk initial and periodic data loads. |
Exception Management
(8 Yes /8 Known /13 Possible features)
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Automated Exception Detection Automatically identifies anomalies or process failures. |
Automated exception detection and alerting is an operations platform staple. | |
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Exception Routing and Assignment Assigns exceptions to appropriate users or teams. |
Exception assignment, routing, and notification is part of exception management functionality. | |
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Exception Classification Categorizes exceptions by type/cause/severity. |
No information available | |
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Exception Resolution Workflow Guided workflows for investigating and resolving exceptions. |
Exception investigation and workflow referenced in exception/break management features. | |
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Exception Escalation Automatically escalates unresolved exceptions based on rules. |
Exception escalation and workflow automation described in product overviews. | |
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Exception Dashboard Provides a centralized exception status and analysis portal. |
Exception dashboarding and root cause analysis form part of the analytics suite. | |
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Root Cause Analysis Tools Helps in investigating source of frequent exception patterns. |
No information available | |
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Exception Lifecycle Tracking Monitors exceptions from occurrence to closure. |
Tracking exception from open to closure referenced in operational workflow management. | |
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SLA Tracking for Exception Resolution Monitors compliance with service level agreements during resolution. |
No information available | |
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Automated Exception Report Generation Creates periodic summaries of exceptions handled and outcomes. |
Exception report generation and analytics referenced in compliance and operational reporting documentation. | |
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Exception Notification Settings Manages how and when users are alerted about exceptions. |
Users can configure notification preferences for exceptions and workflow events. | |
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Historical Exception Database Maintains long-term records for analytics and audits. |
No information available | |
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Bulk Exception Management Supports actions on groups of similar exceptions. |
No information available |
Scalability and Performance
(8 Yes /8 Known /13 Possible features)
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Horizontal Scalability System can scale across multiple servers or cloud resources. |
Horizontal scalability is natively provided by cloud deployment architecture; referenced in solution documentation. | |
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Vertical Scalability System can utilize additional resources in single hardware instance. |
Vertical scalability by resource configuration is supported in Broadridge's cloud SaaS setups. | |
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Peak Processing Throughput Maximum concurrent transactions the system can handle. |
No information available | |
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Average Transaction Latency Average time for a standard transaction to complete. |
No information available | |
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Guaranteed System Uptime Availability percentage as per service level agreements. |
No information available | |
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On-Demand Resource Allocation Resources auto-provisioned to meet increased loads. |
On-demand scaling in cloud/SaaS referenced in technical documentation. | |
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Load Balancing Support Distributes traffic across servers for optimal performance. |
Load balancing supported natively in Broadridge's cloud/hosted solutions. | |
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Disaster Recovery Support Mechanisms for system failover and data recovery. |
Disaster recovery and business continuity referenced as strengths of the platform. | |
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Concurrent User Support Number of users able to work simultaneously. |
No information available | |
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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. | |
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Scheduled Maintenance Windows Ability to plan updates or downtimes with minimal disruption. |
Scheduled maintenance/downtime processes referenced in customer SLAs. | |
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Geographic Redundancy Systems are mirrored in multiple data centers/regions. |
Geographic redundancy standard for SaaS platforms with financial industry compliance. | |
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Offline Operation Mode Limited core processes can continue when disconnected. |
No information available |
Configurability and Extensibility
(8 Yes /8 Known /13 Possible features)
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Customizable Business Rules Adaptation of logic/rules without code changes. |
Business rule customization referenced in solution pages (workflow, compliance, exception handling logic). | |
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Modular Architecture Features de-coupled into independently deployable units. |
No information available | |
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Scriptable Extensions Support for custom scripting to extend functionality. |
Scriptable extension for rule workflows, calculation logic, referenced in technical documentation. | |
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Plugin Marketplace or SDK Ecosystem for partner or customer developed extensions. |
No information available | |
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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. | |
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Template Management Create templates for repetitive processes. |
No information available | |
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Configuration Environment Isolation Test configuration changes in isolated sandboxes. |
Test/sandbox environments for configuration available in enterprise financial SaaS as referenced in integration documentation. | |
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Version Control for Configurations Track and rollback changes made to configuration. |
Version control for configuration deployed across environments in modern enterprise SaaS platforms. | |
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Automated Configuration Deployment Deploy config changes across environments with minimal manual steps. |
Automated deployment is standard for multi-environment operations support in the cloud. | |
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Parameterization Support Change parameters (limits, cutoffs etc.) without coding. |
No information available | |
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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. | |
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Extensible Data Model Ability to add new fields, data types or entities. |
No information available | |
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Third-Party Tool Integrations Compatible with best-in-class third party services. |
Third-party integrations highlighted for banks, custodians, payment networks. |
Maintenance, Support, and Documentation
(11 Yes /11 Known /13 Possible features)
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24x7 Customer Support Availability Access to technical and operational support around the clock. |
Support is described as 24/7 for global capital markets operations. | |
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Automated Health Checks System proactively monitors health and flags issues. |
Automated health checks built into performance dashboards. | |
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Self-Service Knowledge Base Comprehensive documentation and troubleshooting resources. |
Knowledge base/self-service portal described as part of customer support tools. | |
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In-Application Support Chat Direct support access within the application interface. |
In-app support/chat referenced in user experience materials. | |
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Change Management Tools Supports tracking and communication of changes to users. |
No information available | |
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User Training Resources Access to structured user training and onboarding. |
Training resources referenced as part of client onboarding. | |
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Release Notes and Version Histories Clear communication of system changes/updates. |
Release notes/versions histories available via user portal. | |
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Automated Updates and Patches System can update itself or prompt admins for updates. |
Automated patching described for cloud-based environments. | |
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Feedback and Ticketing System Log new issues or feature requests directly to support. |
Feedback/ticketing included in support and client onboarding modules. | |
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Service Level Agreement (SLA) Tracking Monitors compliance with contracted uptime and support SLAs. |
Service level compliance and uptime tracking included in support dashboards. | |
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Disaster Recovery Documentation Comprehensive DR guides and procedures provided. |
DR documentation available for regulated and enterprise customers. | |
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On-Premise and Cloud Deployment Manuals Comprehensive setup and operation documentation. |
Deployment guides/manuals referenced in onboarding and support materials. | |
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Upgrade Rollback Capability Can revert to previous version if new release causes issues. |
No information available |
Cost Management and Deployment Options
(8 Yes /8 Known /13 Possible features)
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Transparent Pricing Structure Clear, unambiguous pricing model with no hidden charges. |
Transparent pricing referenced for SaaS offerings on Broadridge solution pages. | |
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Pay-as-You-Go Option Consumption-based pricing instead of flat fees. |
No information available | |
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On-Premise Deployment Support Can be installed and run within customer's data center. |
No information available | |
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Cloud/SaaS Deployment Available as a cloud-based or SaaS offering. |
SaaS/cloud deployment highlighted as primary mode for modern Broadridge Ops platforms. | |
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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. | |
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Per User Licensing Licensing model based on active users. |
No information available | |
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Per Transaction Pricing Pricing model based on usage/transactions. |
No information available | |
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Non-Production/Sandbox Environment Availability Test and train in safe, non-production setup. |
Sandbox/non-production environments standard for onboarding, training, and UAT. | |
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Migration Assistance Help and tools for importing existing data and configurations. |
Migration tools/support mentioned for onboarding clients from legacy systems. | |
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Upgrade Flexibility Allows customer choice on if/when to upgrade. |
No information available | |
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Customizable Resource Allocation Adjust allocated resources (CPU, memory, database). |
Custom resource allocation available in cloud and hybrid deployments as referenced in technical support docs. | |
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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. | |
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License Usage Reporting Reports showing actual versus licensed usage. |
Usage and licensing reports available to clients via customer portal. |
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