Associate, Broker Dealer Operations

Peters & Co Limited • Calgary, AB

5h

About The Position

Reporting to the Vice President, Operations, the Associate, Broker Dealer Operations will be involved in the day-to-day back-office operations of our Canadian and US dealer. This role is designed to provide hands-on exposure to core operational functions within a broker-dealer environment. The role will have opportunity to rotate through Middle Office, Trade Settlements, and Corporate Actions/Securities teams, developing a strong foundation in the end-to-end trade lifecycle, asset servicing, and regulatory controls.

Requirements

• University degree in a relevant discipline such as Business, Economics, Data Analytics, Communications
• 2+ years of experience in broker-dealer operations, financial services or related role
• Working knowledge of trade lifecycle and post-trade operations
• Interest in process improvement or business analysis with strong written and verbal skills
• Proficiency in Microsoft Office, with strong skills in Excel
• Detail orientated and well-organized, with the ability to manage multiple priorities in a fast-paced environment

Nice To Haves

• Completion of Canadian Securities Course (CSC) is an advantage

Responsibilities

• Support daily trade settlement activities (CDS and DTC) ensuring timely and accurate processing of equity trades, and the resolution of breaks and exceptions with counterparties and custodians.
• Assist with corporate action processing, including mandatory and voluntary events, reconciliations, entitlement calculations, and election processing
• Support physical securities operations, including custody controls, reconciliations, documentation, and safeguarding procedures
• Develop a foundational understanding of broker-dealer operations, including trade lifecycle management, collateral movements, and FundServ processing
• Assist in identifying opportunities for process improvements, automation, and operational efficiencies
• Documents procedures, workflows, and controls, contributing to the development of standardized operating documentation
• Support the creation and maintenance of operational reports and dashboards to track volumes, exceptions, and key risk indicators
• Learn and adhere to regulatory requirements, internal controls, and risk management practices applicable to broker-dealer operations
• Collaborate with front-office teams and service providers to support timely and accurate client service

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level