Director overseeing fraud, AML, disputes, collections, and recoveries for KOHO’s Canadian fintech products. Standardizing operations, managing partners, and automating loss mitigation.
About the role
- Senior Brokerage Operations Associate building automated Canadian brokerage workflows at Alpaca, a global brokerage infrastructure provider. Owning clearing, custody, registered-account, tax, and launch operations.
Responsibilities
- Own account lifecycle and client/introducing-broker servicing, including onboarding handoffs, KYC/AML operations interfaces, maintenance, and transfers
- Define scalable account opening, trade processing, and client cash and securities custody processes for ACCC
- Establish operating splits with partner brokers across accounts, trades, and client assets
- Own trade lifecycle operations including capture, affirmation, clearing, settlement, fails, and breaks
- Manage custody and asset servicing, including segregation, security movements, corporate actions, and cash
- Build books and records, reconciliations, exception management, and operational controls
- Develop registered-account and tax operations for TFSA, RRSP, RESP, tax lots, cost basis, withholding, and reporting
- Create day-two production runbooks, escalations, vendor/custody interfaces, and BCP/DR playbooks
- Translate Canadian dealer, clearing, custody, and operational-risk requirements into SOPs, RACI, controls, and exception paths
- Redesign high-volume and high-risk work for straight-through processing, rules, exception queues, and measurable SLAs
- Prototype and productize AI-assisted operations with appropriate human oversight
- Prepare for ACCC go-live and drive continuous improvement after launch
- Collaborate with the ACCC President / UDP, Compliance, Product, Engineering, and global Operations
- Coach partners through expertise, documentation, and decision logs without managing a team
Requirements
- 10+ years deep, hands-on Canadian brokerage operations experience at a CIRO dealer, carrying broker, custodian, clearing firm, or brokerage ops function in Canada
- Fluent in clearing / settlement, custody, CDS / CDSX (or equivalent), fails, corporate actions, tax, cash / securities operations, account servicing, and introducing / carrying arrangements
- Demonstrated depth in at least two of: clearing / settlement; custody & asset servicing; books & records / reconciliations; registered accounts & tax
- Regulatory-literate in CIRO / provincial securities / CSA context
- Experience redesigning and shipping process and tooling changes that stuck
- Practical experience with workflow automation, rules engines, RPA, or AI-assisted operations
- Exceptional written communication for SOPs, RACI, decision logs, and cross-functional requirements
- Nice-to-haves include greenfield Canadian dealer / clearing / custody stand-up, API-first or broker-as-a-service platforms, US and Canada dual-entity operations, deep CDS / CDSX experience, registered-account or Canadian tax-ops stand-up, and AI-native operations workflows
Benefits
- Competitive Salary & Stock Options
- Health Benefits
- New Hire Home-Office Setup: One-time USD $500
- Monthly Stipend: USD $150 per month via a Brex Card
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
No Education Requirement
Tech skills
Location requirements
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