Senior Brokerage Operations Associate (Canada)

Role overview

Operational scope

• Build account-opening, maintenance, trade-processing, and client cash and securities workflows for Canadian operations.
• Define how partner brokers and the company divide account, trade, and custody responsibilities.
• Handle Canadian settlement through CDS, settlement failures, and corporate actions including dividends and splits.
• Create operating processes for TFSA, RRSP, RESP, tax lots or cost basis, withholding, and partner reporting.
• Establish daily procedures, reconciliation checks, vendor and custodian contacts, and system-failure plans before launch.
• Own account servicing, trade lifecycle, custody, asset servicing, books and records, reconciliations, exceptions, and controls.
• Develop runbooks, escalations, vendor and custody interfaces, and continuity and disaster recovery playbooks.

Experience and operating approach

• Experienced individual contributor with dealer, clearing, and custody operations knowledge.
• Translate CIRO-aligned requirements, custody controls, and operational risk into runnable processes and documentation.
• Design high-volume, high-risk, or high-friction work for automation, straight-through processing, exception queues, and measurable service levels.
• Partner with compliance, product, engineering, global operations, brokers, custodians, and vendors.

Ways of working