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10 Most Promising Risk Management Solution Providers - 2017

Broadridge: Mitigating Risks with Cutting-edge Technology

Warren Buffett, an American business magnate once said, “Risk comes from not knowing what you`re doing.” For financial institutions the global risk management challenge has never been more pressing. Between sweeping regulatory change, and unrelenting pressure from shareholders, politicians and the investing community, institutions struggle to maintain their return on equity, to assure transparency and increase stakeholders’ confidence, and to avoid systemic risk and increased penalties.

With over 50 years of experience, the team at Broadridge provides a range of credit and market risk solutions that enable financial institutions to meet the changing regulatory landscape and give management the tools to take more control of their risk exposure and appetite in real time. “We’re at the forefront of helping clients engage their customers, optimize efficiency, and accelerate growth in a rapidly changing—and challenging—business environment,” says David Becker-Managing Director, Head of Asia Pacific, Broadridge.

Headquartered in New York, U.S., Broadridge serves clients across capital markets, asset management, wealth management and corporations. The firm offers clients secured, standardized, and shared solutions that provide middle and back-office functions at scale, enabling them to reduce costs and drive growth in an increasingly challenging environment. It is the combination of scale and best-in-class technology that allows Broadridge to create the most efficient processes for its clients, with strong controls and data security in place.

Last year, Broadridge launched its next generation offering, Global Post-Trade Management (GPTM), which allows capital market firms to transform their operating models and gain operational and cost efficiencies. It is designed to address the growing requirement for information and transparency in a changing regulatory environment, while strengthening clients’ financial, risk management and compliance processes. The integrated multi-asset class approach to data management and risk management systems reduces risk from siloed “vertical” risk systems – thereby giving management true oversight of the entire firm’s risk.

Broadridge’s risk management suite has always helped its clients to unlock business value and be competitive in a challenging market environment.


The integrated multi-asset class approach to data management and risk management systems reduces risk from siloed “vertical” risk systems thereby giving management true oversight of the entire firm’s risk


Broadridge recently helped a Tier 1 global financial institution to streamline its various processing systems into a single workflow thus removing the complexity and inefficiency in their system. The financial group was in need of a one-stop solution to combine all its processing functions into a single system. Broadridge’s solution enabled the client to optimize the operational process and improve the transparency of regulatory reporting.

Broadridge is following a two-pronged approach to service clients today and in the future. The company provides the latest technology that can be deployed to clients today, and invests strategically in technology that the firm believes will transform the industry over the next few years. One of those transformative technologies is blockchain. Broadridge is taking a number of steps to help its clients benefit from this new technology. Its strategy is to invest organically, as well as through leading innovation in this space. In 2016 Broadridge made a minority investment in Digital Asset Holdings, a start-up which is working to use distributed ledger technology to settle short-term lending arrangements between dealers, among other things. It also recently joined the Hyperledger Project, an open-source project advancing common blockchain standards. And in September Broadridge acquired technology assets of Inveshare to use these technology assets to develop blockchain applications for the proxy business.

“We firmly believe that blockchain will reshape and transform the financial services industry. Through the investments we are making in this technology we are well positioned to partner with our clients to support them all the way through this transition,” concludes Becker.