As TradeZero Canada continues to grow, we are adding a new role to strengthen our operational discipline and administrative rigor. The Manager, Operational Controls & Administration will be responsible for leading key administrative and operational initiatives—planning, coordinating, and executing recurring programs and compliance-related processes that help TradeZero Canada meet its regulatory obligations, audit standards, and internal control requirements.
This is an individual contributor role with broad organizational impact. You will design and manage the annual calendar of controls, deadlines, and process updates across Finance, Operations, and Compliance, ensuring programs run on time, documentation remains current, and staff and auditors have reliable access to required materials.
Key Responsibilities
1. Audit & Controls Management
SOC 1 Type 2 Audit Ownership: Act as the internal project manager for the annual SOC 1 Type 2 audit cycle. Build and maintain the annual audit “preparation and readiness” calendar, coordinate with auditors, assign internal responsibilities, and track evidence gathering. Proactively ensure controls with periodic requirements (e.g., semi-annual access rights reviews, annual policy updates) are scheduled, communicated, and completed well in advance of deadlines.
Evidence & Documentation Preparation: Collect, validate, and archive supporting materials for control testing (e.g., user access lists, system change tickets, HR onboarding/offboarding checklists). Collect and maintain audit-ready documentation throughout the year in preparation of audit requests.
Spot Testing & Quality Assurance: Conduct regular ad-hoc spot checks on controls (e.g., client fee schedule changes logged in FreshService, timely closure of access removal tickets, reconciliation sign-offs). Escalate gaps and track remediation to completion.
2. Regulatory & Policy Implementation
Policy & Procedure Custodian: Serve as subject matter expert on the firm’s Policy & Procedures (PnP), Internal Controls Policy (ICP), and related manuals. Manage the end-to-end update cycle: draft revisions with stakeholders, circulate for Executive and Board approval, ensure formatting consistency, publish final versions, and archive superseded documents.
Unclaimed Property Program: Translate policy into procedures by defining step-by-step workflows for identifying dormant accounts, drafting and sending required client notifications, logging outreach attempts, and documenting resolution. Ensure compliance with differing provincial timelines and reporting requirements, coordinate with Finance and Operations to ensure any unclaimed balances are handled in accordance with provincial requirements, including notification, follow-up, and, where required, remittance to the provincial authority.
FATCA / U.S. Persons Procedures: Develop and maintain processes to scan client records for indicia of U.S. Person status (e.g., U.S. address, tax ID, place of birth). Coordinate follow-up outreach, ensure proper completion of IRS forms (W-9, W-8BEN), and document determinations. Maintain logs and controls for ongoing monitoring and regulatory evidence.
Negative Equity Recovery: Maintain and enforce procedures for identifying, escalating, and pursuing negative equity balances. Responsible for the recurring follow-up process: send notices, document client responses, coordinate repayment arrangements, and escalate to collections when necessary. Prepare reporting packs for management on outstanding balances and recovery progress.
3. Administration & Continuous Improvement
Intranet Administration: Responsible for TradeZero Canada’s intranet site, ensuring it functions as the single source for policies, procedures, training guides, and operational updates. Post new content, audit for accuracy, and remove outdated material. Provide guidance to staff on where and how to find key documents.
Annual Control Calendar: Maintain the master control calendar covering daily, weekly, monthly, quarterly, and annual obligations. Track progress, send reminders, and update management on upcoming deliverables. Provide transparency across Finance, Operations, and Compliance by producing dashboard-style reports that highlight completed vs. outstanding tasks.
Post-Implementation Reviews: After major cycles (e.g., SOC audit, unclaimed property, annual policy update), facilitate lessons-learned sessions with stakeholders. Document improvement opportunities and incorporate them into next year’s calendar.
Daily Reconciliations: Assist Finance by independently reviewing reconciliations of withdrawals and various operational transactions. Maintain reconciliation checklists and sign-off logs.
This list of responsibilities is not comprehensive. Additional tasks, responsibilities, and special projects may be assigned from time to time to support the company’s objectives, especially as regulatory standards, audit cycles, or business priorities evolve.

Qualifications

• Strong project management and organizational skills; ability to coordinate multiple recurring programs with competing deadlines.
• Excellent documentation and communication skills, with proven ability to write and maintain policies and procedures.
• High attention to detail, proactive mindset, and ability to work independently in a fast-paced environment.
• 3–5 years of experience in financial services operations, audit coordination, compliance administration, or related fields.
• Familiarity with SOC 1 audits, regulatory reporting (CIRO, FATCA), and internal control frameworks.
• Bachelor’s degree in Business Administration, Finance, Accounting, or related field.
• Proficiency in Microsoft Excel and SharePoint (or equivalent intranet/document management systems).

Why Join Us
This is a unique opportunity to shape a foundational function within a growing fintech firm. You’ll play a critical role in ensuring TradeZero Canada remains audit-ready, compliant, and operationally efficient, while gaining exposure to Finance, Operations, and Compliance at a dynamic and innovative trading firm.
Job Type: Full-time
Pay: $75,000.00-$85,000.00 per year
Work Location: Hybrid remote in Toronto, ON M5E 1J

Please refer the Job description for details