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Broadridge Financial Solutions

Broadridge Financial Solutions

Website: www.broadridge.com

About the company

Broadridge is a leading provider of investor communications and technology-driven-solutions to banks, broker-dealers, mutual funds, and corporations globally. Our systems and services include investor communication solutions, securities processing and operations. In short, we provide the infrastructure that helps the financial services industry operate. With 50 years of experience, we provide financial services firms with advanced, dependable, scalable and cost-effective integrated services to help run their businesses.

Through our services, we help reduce the need for our clients to make significant capital investments in operations infrastructure allowing them to increase focus on their core business activities. We serve a large and diverse client base in the financial services industry, including retail and institutional brokerage firms, global banks, mutual funds, annuity companies, institutional investors, specialty trading firms, and clearing firms. We also provide services to corporate issuers.

We deliver a broad range of solutions that help our clients better serve their retail and institutional customers across the entire investment lifecycle, including pre-trade, trade, and post-trade processing. Our securities processing systems enable our clients to process securities transactions in more than 50 countries. On an annual basis, we distribute over one billion investor communications, including proxy materials, investor account statements, trade confirmations, tax statements and prospectuses; and on average we process trillions of dollars of fixed income and equity trades per day.  Our risk solutions help our clients reduce their operational and financial risks across multiple lines of business.

Products and services

Financial Risk Management
Successful risk management requires firms to take control of exposure to both market and counterparty risk across multiple asset classes and investment strategies. Broadridge’s risk management capabilities support a wide range of asset classes and investment vehicles. The risk solution provides customizable valuation, simulation and reporting of risks factors through an integrated front-to-back office support infrastructure that is also complemented by an interactive web-based interface.

Risk Master, a fully-featured and flexible risk management solution, allows firms to intelligently mitigate risk across an entire portfolio or at the trade level across multiple asset classes.  It allows clients to control their risk exposure to both market and counterparty risk, and to quickly act upon any identified risk tolerance breaches, facilitating better enterprise-wide decision making. 

Operational Risk Management
Broadridge’s Operational Risk Management Solution provides the capabilities for measuring, monitoring and mitigating operational risk. Using an extensive library of Key Risk Indicators (KRI’s) and industry best practices across the securities life-cycle, we create a unique, market-leading basis for flexible risk reporting and management. This extensive reach permits use of standardized and custom KRI hierarchies in order to meet the wide variety of risk and compliance needs across an organization. The solution can be customized to select relevant KRIs for each user. Our Risk Alerts give the ability to proactively manage risk by being alerted to “red flag” items with customize parameters such as threshold and frequency of alerts.  Dashboards provide the ability to monitor various KRIs on an ongoing basis.

Contact details

Americas: 646-214-3777
UK/EMEA: +44 (0) 203 375 8010
Asia: + 852 3695 5128
Email: or
Toll Free: 888-237-1900

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