Senior Brokerage Operations Associate (Canada)

Overview

Senior Brokerage Operations Associate (Canada) who designs and runs Canadian brokerage operations for Alpaca, turning CIRO-aligned operating requirements into scalable, automated, auditable workflows that Product and Engineering can build against.

What you'll do

• Design account opening, maintenance and servicing for ACCC, including onboarding handoffs, KYC/AML ops interfaces and transfers.
• Define how a partner broker and ACCC split work on accounts, trades and holding client assets, so it scales with volume.
• Own the trade lifecycle: capture, affirmation, clearing, settlement through CDS, fails, breaks and corporate actions such as dividends and splits.
• Automate routine cases and maintain a clear exception list instead of running the book in spreadsheets.
• Own registered account and tax operations for TFSA, RRSP, RESP and similar wrappers, including eligibility, contribution rules, cost basis, tax lots, withholding and partner reporting.
• Own custody and asset servicing: segregation, security movements, corporate actions and cash.
• Own books and records, reconciliations, exception management and operational controls.
• Prepare day-2 production operations: runbooks, daily checks against custodian and market records, vendor and custodian contacts, escalations, and BCP/DR playbooks.
• Prototype and productize AI-assisted operations (exception triage, recon investigation, SOP Q&A, control-testing support, runbook copilots) with human oversight where risk or regulation requires it.
• Produce SOPs, RACI, controls, decision logs and requirements that Product, Engineering and Operations can execute against.
• Drive launch readiness for ACCC and continuous improvement after go-live.

What you'll need

• 10+ years of hands-on Canadian brokerage operations experience at a CIRO dealer, carrying broker, custodian, clearing firm or brokerage operations function in Canada.
• Working knowledge of clearing and settlement, custody, CDS/CDSX (or equivalent), fails, corporate actions, tax, cash and securities operations, account servicing, and introducing/carrying arrangements.
• Demonstrated depth in at least two of: clearing and settlement; custody and asset servicing; books and records and reconciliations; registered accounts and tax.
• Regulatory literacy in CIRO, provincial securities and CSA context.
• Experience designing operable controls.
• Experience redesigning and shipping process and tooling changes that stuck, not only running business as usual.
• Practical experience with automation and AI (workflow automation, rules engines, RPA or AI-assisted operations), including knowing where AI helps and where controls must stay deterministic.
• Exceptional written communication: SOPs, RACI, decision logs and requirements that cross-functional teams can ship against.

Nice to have

• Greenfield Canadian dealer, clearing or custody stand-up.
• API-first or broker-as-a-service or correspondent platform experience.
• US and Canada dual-entity operations.
• Deep CDS/CDSX or Canadian market-infrastructure experience.
• Registered-account or Canadian tax-operations stand-up (TFSA, RRSP, RESP, tax lots, withholding, reporting).
• AI-native operations workflow using tools such as Cursor, Claude, ChatGPT or custom agents for SOP drafting, exception synthesis and prototyping.

Details

• Remote, Canada or India.
• Competitive salary and stock options; health benefits; one-time USD $500 home-office setup; USD $150 monthly stipend via a Brex Card.