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

Responsibilities

• Provide outsourced operational/transactional business process support for clients, ensuring quality service and operational performance aligned with client needs and contractual obligations.
• Support the daily oversight of DTC Security Settlement functions and related processes, including Vault processing, pair-offs, SPO charges, RAD management, fail reporting, regulatory obligations such as FINRA extensions, break resolution, DK reporting, new issue processing, EOD balancing, ETF settlements, obligation warehouse activity, buy-ins, and free deliveries and receives.
• Review and approve settlement-related activity to ensure accuracy, completeness, timeliness, and adherence to established procedures and controls.
• Conduct quality reviews of work completed by associates and provide feedback to help ensure consistency, accuracy, and continuous improvement.
• Serve as a subject matter resource for the team by answering processing questions, assisting with issue resolution, and escalating risks or exceptions when needed.
• Partner with leadership to maintain a strong control environment by ensuring compliance with Written Supervisory Procedures (WSPs) and other operational guidelines.
• Identify operational inefficiencies and support recommendations for process enhancements, workflow improvements, and automation opportunities.
• Collaborate with onshore and offshore partners to help ensure seamless execution of daily settlement and vault activities.
• Support training and onboarding efforts for new associates by sharing process knowledge, reinforcing best practices, and monitoring quality of work.
• Communicate effectively with internal stakeholders and clients regarding operational issues, resolutions, and preventative actions.

Qualifications

• 3+ years of experience in settlements operations, preferably within DTC Settlements
• Bachelor’s degree or equivalent experience preferred
• Prior experience in a lead, senior associate, or supervisory capacity preferred
• Vault experience preferred
• Series 99 preferred
• Strong knowledge of DTC settlement processing and related operational controls
• Ability to identify and resolve issues in a fast-paced, deadline-driven environment
• Strong risk awareness and ability to escalate issues appropriately
• Effective communication skills with the ability to work across teams and with clients
• Self-motivated, detail-oriented, and committed to continuous improvement
• Open to new ideas, process enhancements, and evolving business needs
• Experience with IMPACT, Global Framework / BPS, DTC, VPS, and BONY NEXEN preferred

Pay

The salary range for this position is between $90,000 - $95,000. Bonus Eligibility: Bonus Eligible

Benefits

Please visit www.broadridgebenefits.com for more information on our comprehensive benefit offerings. All Colorado employees receive paid sick leave in compliance with the Colorado Healthy Families and Workplaces Act and other legally required benefits, as applicable.