Alpaca - Senior Brokerage Operations Associate (Canada)

• We're seeking a Senior Brokerage Operations Associate (Canada). An experienced individual contributor who has lived dealer, clearing, and custody reality and designs every process as if manual work is temporary. • You turn CIRO-aligned operating requirements into scalable, automated, auditable workflows that Product and Engineering can build against. You partner closely with the ACCC President / UDP, Compliance, Product, Engineering, and global Ops. Someone who influences through expertise, crisp documentation, and decision logs, not through a team. • Success is measured by launch readiness, STP and control quality, registered-account / tax operability, and systems others can run and not by headcount or heroic spreadsheet ops. • What you'll walk into: • You won't be starting from zero. You'll be owning live problems: • Getting ready to open: figure out how we open and maintain accounts, process trades, and hold client cash and securities on day one. Build that for ACCC rather than copying a manual process from another firm. • Working with partner brokers: define how a partner firm and ACCC split the work on accounts, trades, and holding client assets, so it still works as volume grows. • After the trade: settlement in Canada (through CDS), trades that fail to settle, and corporate actions such as dividends and splits. Automate the routine cases and keep a clear list of exceptions, instead of running the book in spreadsheets. • Registered accounts and tax: TFSA, RRSP, RESP, and similar accounts. Cover who can open them, contribution rules, what a security cost, tax withheld on dividends and other income, and the reports clients and partners need. • The day after launch: written steps for daily work, checks that our records match the custodian and the market, contacts at vendors and custodians, and a plan if a system or vendor fails. Have these ready before real client volume shows up. • Building Canada: clear handoffs between product, engineering, and operations teams. • What you’ll own: • What you’ll own: • 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: • 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 • Translate Canadian reality into runnable process • 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 • Automation-first by default • 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 • AI-first operating lens • Go-live and beyond — Readiness for ACCC launch and early production; continuous improvement after go-live • Go-live and beyond • Raise the bar without managing a team — Coach partners through expertise, crisp documentation, and decision logs; leave systems others can run • Raise the bar without managing a team • How we'll measure success: • Launch readiness gates met with documented controls, SOPs, RACI, and runbooks Product / Eng / Ops can execute against • STP, exception, and reconciliation aging targets defined and trending the right way post go-live • Registered-account and tax workflows ready when partners launch, rather than added later • Specs and decision logs that remove re-discovery for Product and Engineering • Systems and playbooks others can run after you, so knowledge sticks in the org and not only in one person's head