Case Study: U.S. Securities firm gets implementation back on track with Broadridge

Getting a Securities Firm Back on Track

A U.S. Securities firm turned to Broadridge after acquiring new advisor compensation software and struggling to manage implementation in-house. By the time the project reached testing, the firm was more than three months behind schedule and needed help coordinating integration, documentation, and compliance requirements across multiple systems.

Broadridge assumed responsibility for the testing and built an accelerated strategy covering software testing, UAT, test artifacts, vendor coordination, and defect management. Broadridge completed multi-system testing months ahead of schedule, helped the firm regain lost time, reduced audit risk by uncovering and fixing issues in adjacent systems, and delivered the implementation with zero defects.