Senior Brokerage Operations Associate (Canada)

Responsibilities

• Account lifecycle & client/introducing-broker servicing (onboarding handoffs, KYC/AML ops interfaces, maintenance, transfers)
• Trade lifecycle (capture, affirmation, clearing, settlement, fails, breaks)
• Custody & asset servicing (segregation, security movements, corporate actions, cash)
• Books & records, reconciliations, exception management, and operational controls
• Registered accounts & tax ops: TFSA, RRSP, RESP and related wrappers; tax lots / cost basis; withholding; local reporting partners need to stay compliant
• Day-2 production ops: runbooks, escalations, vendor/custody interfaces, BCP/DR operational playbooks
• How you’ll work
• Translate Canadian reality into runnable process — CIRO-aligned dealer/clearing/custody expectations, introducing–carrying dynamics, custody controls, and operational risk into SOPs, RACI, controls, and exception paths Product and Engineering can build against
• Automation-first by default — redesign high-volume / high-risk / high-friction work for straight-through processing, rules, exception queues, and measurable SLAs, instead of spreadsheet heroics
• AI-first operating lens — Prototype and productize AI-assisted ops (exception triage, recon investigation, SOP Q&A, control-testing support, runbook copilots) with human oversight where risk or regulation requires it

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