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Broadridge Structured Securities Data & Analytics from Broadridge Financial Solutions
Data and analytics platform for structured securities. Includes deal modeling, performance tracking, investor reporting, and regulatory compliance tools. Supports various structured products including RMBS, CMBS, ABS, and CLOs.
More about Broadridge Financial Solutions
Product analysis by function
Structured Finance Systems for Investment Banking
Solutions for creating and managing complex financial instruments and structured products.
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Core Deal Structuring & Management
(8 Yes /8 Known /10 Possible features)
Flexible Deal Structure Modeling
Ability to create and customize detailed deal structures, including waterfall logic and multiple tranches.
Yes - has this feature
Platform supports structured finance deal modeling with complex waterfall logic and tranching as evidenced by public documentation and fact sheets.
Collateral Pool Setup
Support for defining and maintaining pools of assets (e.g., loans, mortgages, receivables).
Yes - has this feature
Platform mentions support for multiple asset types and management, which includes collateral pool setup for loans and receivables.
Multiple Asset Class Support
Capability to handle diverse collateral types (RMBS, CMBS, ABS, etc.).
Yes - has this feature
Supports RMBS, CMBS, ABS, CLOs, as indicated in product description—confirming multiple asset class support.
Dynamic Waterfall Configuration
Allows customization of cash flow waterfalls with triggers, step-downs, OC/IC tests, and priorities.
Yes - has this feature
Broadridge’s platform advertises customizable cash flow waterfalls and deal logic for structured finance.
Automated Deal Maintenance
Automated annual or periodic updates to deal documents and triggers.
Yes - has this feature
System automates performance tracking and has workflow tools for periodic deal updates as seen in reference material.
Version Control for Structures
Track and manage versions of deal setups for audit and compliance.
Yes - has this feature
Version control and audit trail of transactions/data changes is referenced in technical documentation for compliance.
Deal Replication/Cloning
Ability to replicate existing deals with changes for new issuance.
Yes - has this feature
Platform enables users to replicate and adjust deal structures for future issuances, a key feature in deal origination.
Limitless Tranche Creation
Capacity to define a large number of tranches per deal.
No information available
Concurrent Deal Support
Number of deals the system can model and maintain simultaneously.
No information available
Securitization Event Tracking
Tracks key events and milestones over the lifecycle of a securitization.
Yes - has this feature
Lifecycle management and event/milestone tracking are referenced under platform's deal and investor reporting modules.
Cash Flow Modeling & Analytics
(7 Yes /7 Known /10 Possible features)
High-Speed Cash Flow Engine
Performance of cash flow calculations for highly complex structures and scenarios.
No information available
Multi-Scenario Execution
Ability to run and compare results across multiple scenario assumptions (macro, credit, prepayment, default, etc.).
Yes - has this feature
Allows for scenario analytics including macro, default, and prepayment assumptions and comparison.
Waterfall Transparency
Clear visualization and breakdown of cash flow allocations and triggers.
Yes - has this feature
User interface provides visual breakdown and standard waterfall transparency of cash flow allocations.
Assumption Management
Supports storage, comparison, and historical tracking of multiple assumption sets.
Yes - has this feature
System supports assumption management with scenario backtesting and historical reference.
Stochastic/Monte Carlo Simulation
Ability to run large numbers of simulation paths for probabilistic analysis.
No information available
Prepayment/Default Modelling
Built-in models or flexible support for prepayment and default curves.
Yes - has this feature
Supports prepayment and default modeling for structured products as described in platform capabilities.
Output Export Options
Export results in various formats (Excel, CSV, PDF, XML, etc.).
Yes - has this feature
Product can export to Excel, PDF, CSV; integration export options confirmed in product material.
Analytics Metrics Calculation
Calculation of IRR, WAL, Credit Enhancement, OC/IC ratios, etc.
Yes - has this feature
Calculations for IRR, WAL, and credit enhancement metrics are cited as built-in analytics in documentation.
Parallel Processing
Ability to utilize multi-core or distributed computing for faster analytics.
No information available
Stress Testing
Formal support for regulatory or internal stress test scenarios.
Yes - has this feature
The ability to run stress testing scenarios (regulatory/internal) is explicitly cited as a feature.
Collateral Management
(7 Yes /7 Known /10 Possible features)
Automated Data Import
Seamless ingestion of collateral data from multiple sources/formats (loan tapes, XML, etc.).
Yes - has this feature
Automated data ingestion from various source files (loan tapes, etc.) is explicitly mentioned in tech sheets.
Data Validation & Cleansing
Pre-built rules for checking data quality and flagging anomalies.
Yes - has this feature
Platform literature references automated rules for data validation and cleansing upon import.
Loan-Level Tracking
Tracks individual assets throughout their lifecycle.
Yes - has this feature
Loan-level tracking is central component for performance tracking and reporting as per product details.
Pool Stratification Reporting
Ability to generate reports by asset stratification (by FICO, LTV, sector, etc.).
Yes - has this feature
Includes stratification and reporting by asset attributes/characteristics (FICO, LTV, etc.).
Collateral Substitution
Supports asset replacements, eligibility checks, and exclusion criteria.
No information available
Concentration Limit Monitoring
Monitoring for regulatory or deal-specific exposure limits in collateral pools.
Yes - has this feature
Collateral concentration and limit monitoring referenced under risk management/compliance modules.
Data Audit Trails
Immutable, timestamped logs of changes to collateral data.
Yes - has this feature
Auditable logs for collateral data changes form part of compliance infrastructure described.
Real-Time Collateral Updates
How quickly the system can refresh for new/updated collateral data.
No information available
Historical Collateral Archiving
Ability to preserve and retrieve prior versions of the pool.
Yes - has this feature
Ability to archive and restore previous collateral pool states is implied by historical workflow features.
Integration with Master Servicer
Enables secure/integrated feed with third-party or internal servicer systems.
No information available
Risk Management & Regulatory Compliance
(8 Yes /8 Known /10 Possible features)
Regulatory Reporting Automation
Automates the production of required reports (SEC, ESMA, etc.).
Yes - has this feature
SEC/ESMA and similar regulatory report automation is a specifically promoted feature.
Compliance Rule Engine
Defines, monitors, and enforces internal/external risk, compliance, and eligibility rules.
Yes - has this feature
Compliance engine for defining/enforcing rules is part of risk/compliance toolkit.
Exposure Analytics
Calculates exposure concentrations, country limits, and counterparty exposure.
Yes - has this feature
Exposure analytics tools calculating concentrations and counterparty risk are promoted in brochure.
Scenario-Based Risk Analysis
Ability to run risk analytics under regulatory and custom scenarios.
Yes - has this feature
Scenario-based risk analytics (including regulatory/custom scenarios) is a listed use case.
Limitation Breach Alerts
Automatic alerts for breaches of deal or regulatory limits.
Yes - has this feature
Alerts for breaches of regulatory/deal limits are referenced in compliance and automation modules.
Full Audit Trails
Comprehensive audit logs for every system interaction and data change.
Yes - has this feature
Comprehensive audit trail and log features referenced in compliance features.
Risk Rating Integration
Ability to interface with internal or external credit rating models.
No information available
Regulatory Change Updates
System updates to automatically reflect major regulatory changes.
Yes - has this feature
Broadridge updates regulatory logic as compliance requirements change; highlighted in industry updates.
ESG Metrics Support
Capture/report on Environmental, Social, Governance investment criteria.
No information available
KYC/AML Capabilities
Built-in or connected Know Your Customer / Anti-Money Laundering checks.
Yes - has this feature
Integration with KYC/AML tools can be implemented and is referenced for compliance modules.
Reporting & Document Management
(8 Yes /8 Known /10 Possible features)
Custom Report Builder
Flexible tools to design and modify analytic, compliance, and investor reports.
Yes - has this feature
Ad-hoc and custom report builder is mentioned as part of the analytics/reporting toolkit.
Automated Distribution
Ability for scheduled, secure electronic delivery to stakeholders.
Yes - has this feature
Automated scheduled reporting/dissemination functionality for investors is a promoted feature.
Ad Hoc Query Capability
Allows users to run custom, SQL-type queries on system data.
Yes - has this feature
Custom queries and data exploration is supported via dashboard/reporting modules.
Multi-Format Output
Supports output in PDF, HTML, DOC, Excel, and XBRL formats.
Yes - has this feature
Broadridge promotes multi-format report output (Excel, PDF, HTML) for investors and compliance.
Historical Document Archiving
Stores versions of investor reports and offering documents for compliance.
Yes - has this feature
Historical report archiving to support audit-readiness and compliance is included.
Templated Regulatory Reports
Pre-packaged templates for regulatory submissions (e.g., SEC ABS-EE, ESMA).
Yes - has this feature
Pre-packaged SEC ABS-EE/ESMA and templated regulatory filing outputs are referenced.
Automated Watermarking/Branding
Watermarking and branding for investor and internal reports.
No information available
Document Access Controls
Granular user permissions and encryption for sensitive documents.
Yes - has this feature
Access controls for sensitive documents are available and configurable in the system.
Audit-Ready Documentation
Documentation and reporting built to support external/internal audits.
Yes - has this feature
Regulatory and investor reporting is described as 'audit-ready.'
Bulk Report Generation Speed
Capacity for generating multiple large reports in parallel.
No information available
Integration & Interoperability
(7 Yes /7 Known /10 Possible features)
Open API Access
Availability of RESTful or SOAP APIs for external integrations.
Yes - has this feature
API access and integration capabilities are a focus in the product’s technical description.
Real-Time Data Feeds
Support for connecting real-time asset or market data streams (Bloomberg, Reuters, etc.).
Yes - has this feature
Real-time data integrations for market/securities feeds are available; integration with Bloomberg/Reuters noted.
Batch Import/Export
Bulk data upload/download capability for integration with upstream/downstream systems.
Yes - has this feature
Batch data import/export available for large/complex collateral pools as per specs.
SFTP/FTP Connectivity
Secure file transfer support for data exchange.
Yes - has this feature
SFTP/FTP connections supported for external data transfer and reporting delivery.
Legacy System Interfaces
Adaptors/connectors for legacy banking and risk systems.
No information available
Single Sign-On (SSO)
Integrated user authentication with enterprise directories (LDAP, Azure, etc.).
Yes - has this feature
SSO capabilities (LDAP, SAML, Azure) referenced for enterprise clients.
Event Notification Webhooks
Real-time push notifications to external systems.
No information available
Custom Integration Toolkit
Tools and documentation for custom connectors and middleware.
Yes - has this feature
Custom integration/API toolkit referenced for bespoke and third-party system connections.
Configurable Data Mapping
Ability to map and transform incoming or outgoing data structures.
Yes - has this feature
Supports mapping of third-party data formats to internal models as part of onboarding.
Maximum Simultaneous Integrations
How many simultaneous integration jobs the system can support.
No information available
Security & Data Protection
(9 Yes /9 Known /10 Possible features)
End-to-End Encryption
Data is encrypted at-rest and in-transit using industry standards.
Yes - has this feature
Broadridge states that it uses standard encryption for data at-rest and in-transit.
Role-Based Access Control (RBAC)
Granular security based on user roles and responsibilities.
Yes - has this feature
Role-based access controls configurable at multiple levels according to compliance data sheet.
Multi-Factor Authentication (MFA)
Requires multiple credentials for user access.
Yes - has this feature
Broadridge provides for multi-factor authentication for secure client access.
Regular Penetration Testing
System is subject to regular third-party or internal security testing.
Yes - has this feature
Regular third-party and client-driven penetration/security testing is referenced in security information.
Audit Logging
Detailed, tamper-evident logs of system activity.
Yes - has this feature
Detailed system and data change logs are maintained as part of audit/compliance posture.
Data Retention Policy Configuration
Customizable rules for retention and deletion of sensitive data.
Yes - has this feature
Retention and data purge policies can be configured by user as required by compliance.
Data Masking/Pseudonymization
Protection for PII during analytics, testing or lower environments.
Yes - has this feature
PII/analytics masking capabilities are available for test or lower environments.
Certification & Compliance
Compliance with major standards (SOC2, ISO 27001, GDPR, etc.).
Yes - has this feature
Platform features compliance with standards including SOC2 and GDPR; referenced in company certifications.
Intrusion Detection
Live monitoring for breaches and suspicious activity.
Yes - has this feature
Active monitoring and intrusion detection are part of the managed Broadridge hosting/security solution.
Disaster Recovery RPO
Recovery Point Objective: Age of data that can be lost in a system outage.
No information available
User Experience & Accessibility
(4 Yes /4 Known /10 Possible features)
Intuitive Interface
Modern, consistent, and user-friendly UI.
Yes - has this feature
Modern, web-based UI is a core selling point for user experience.
Customizable Dashboards
Ability for users to tailor dashboards with preferred metrics/views.
Yes - has this feature
Users can customize dashboards and analytics widgets.
Accessibility Compliance
WCAG or ADA compliant for users with disabilities.
No information available
Localization/Language Support
Support for multiple languages/regional settings.
No information available
In-App Tutorials/Tooltips
Guided help, tooltips, and onboarding flows.
Yes - has this feature
System includes tooltips/onboarding for structured product workflows.
Mobile Accessibility
Optimized access for mobile/tablet platforms.
Yes - has this feature
Web-based platform is mobile/tablet-optimized according to product FAQ.
Theme/Color Scheme Customization
Customizable UI appearance (dark mode, etc.).
No information available
Concurrent User Support
Number of users supported simultaneously without degradation.
No information available
Bookmarking/Favorites
Users can bookmark frequently used reports/functions.
No information available
Session Timeout Controls
Automatic logout/timeouts for security.
No information available
Lifecycle Automation & Workflow
(6 Yes /6 Known /10 Possible features)
Workflow Automation Engine
Configurable process flows for deal origination, approval, and servicing.
Yes - has this feature
Workflow automation is part of the platform’s structured finance management tools.
Task Assignment & Tracking
Automated routing and monitoring of tasks to users/teams.
Yes - has this feature
Supports task assignment/tracking capabilities for deal workflow and regulatory process.
Approval Hierarchies
Configurable multi-level approval chains for critical actions.
No information available
Workflow SLA Monitoring
Time alerts/metrics for meeting internal or regulatory service levels.
No information available
Calendar & Milestone Reminders
Automatic reminders for key dates/events (e.g., payment dates, investor reporting).
Yes - has this feature
Automated and customizable calendar/events and reminders are promoted feature for investor/servicing reporting.
Exception Handling Support
Automated detection and routing of out-of-bounds scenarios.
No information available
Bulk Upload & Bulk Actions
Ability to process large sets of records in a single action or file.
Yes - has this feature
Bulk upload/editing actions referenced for onboarding and data management.
Workflow History/Audit
Logs of all actions taken as part of workflow.
Yes - has this feature
Workflow audit trail with immutable logs forms part of risk and compliance posture.
Custom Workflow Templates
Bank- or desk-specific processes can be pre-built as templates.
No information available
Automated Notification Triggers
Automatic notifications for workflow status changes.
Yes - has this feature
Automated and customizable notification triggers for workflow/event changes included.
Technical Scalability & Performance
(5 Yes /6 Known /10 Possible features)
Horizontal Scalability
Ability to scale across multiple servers/cloud instances.
Yes - has this feature
Platform is described as highly scalable and available for large financial institutions.
Load Balancing Support
Distributes user and processing load automatically.
Yes - has this feature
Infrastructure documentation references automated load balancing.
Real-Time Processing Capacity
Number of real-time calculations or events handled per second.
No information available
High Availability SLA
Guaranteed system uptime as a percentage over a year.
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Broadridge SLA information promotes >99% annual uptime.
Disaster Recovery RTO
Maximum time to restore service after a disaster.
No information available
Elastic Storage
System can dynamically allocate storage as needed.
Yes - has this feature
Elastic/dynamically allocated storage is mentioned as part of SaaS/cloud platform implementation.
Zero-Downtime Updates
Upgrades or patches can be deployed without taking the system offline.
Yes - has this feature
Update and patching handled with near-zero downtime as part of managed services.
Performance Monitoring Console
Dashboards for tracking system health, response times, bottlenecks.
Yes - has this feature
Performance and health monitoring tools are integrated in platform’s administration view.
Max Supported Data Volume
Maximum capacity of transactional and reference data.
No information available
Automated Scaling Rules
System can auto-scale based on load or time-of-day.
No information available
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