As VP, of Operations at Alpaca I oversee the firm's equity trading offering (principal and agency trading), fractional share program, trade reporting (TRF, ORF & CAT), purchase and sales, corporate actions processing, and margin departments. Additionally, I serve as the chairperson of the Firm's Best Execution Committee and am a member of the Credit Committee and Risk and Controls Commitee.

-Handle escalated trade issues on the desk. This includes complaints on executions, service issues, escalated settlement issues, complex orders.-Assist in the hiring decision of new associates on the desk.-Trained new traders on the desk.-Responsible for the firm’s GTC order book (30,000 -75,000 orders at any given time).-Ensure that traders on the desk are handling held and not held orders properly.-Host prospective financial advisors during home office visits (HOVs) and teleconferences. Explain the value proposition of our hi-touch trading desk.-Direct the desk response during system outages and extreme market volatility.-Represent the trading desk at Investment Advisor Conferences.-Oversee desk error accounts. Ensure associates reconcile error accounts properly. Ensure that losses billed to advisors for trade errors are accurate.-Adjust order routing when best executions issues arise.-Assisted in the creation of auto-routing business rules.-Responsible for a review of grey market transactions to ensure clients received fair pricing.-Review daily market order timeliness report for best-ex issues.-Handle internal and external audits.-Follow up on trades executed in the local market to ensure trades were pre-matched and follow up with the back office or advisor and resolve any outstanding issues.-Ensure that commissions charged by executing brokers in local market transactions are accurate.-Oversee daily FX transactions for the retail sales force. Approximately 20-40 trades a day.-Responsible for a foreign currency inventory. Ensure the inventory was in compliance with the daily position limit and weekly aging policy.-Ensured that trades were being booked in the correct capacity (principal/agency), ensured fair pricing, and also ensure that markup/markdowns were properly accounted for in the client trades.