Stephanie Dempster Email & Phone Number

Fort Lauderdale, Fl, Us

Fort Lauderdale, Fl, Us

Plantation, Florida, United States

Fort Lauderdale, Fl, United States

Best Execution and Trade Reporting (OATS & CAT)

Miami/Fort Lauderdale Area

Trading

Fort Lauderdale, Fl

Supervised all trade desk employees and responsibilities including back office operations and front end trading platform functions. Trade desk functions included processing of electronic and paper equity and options orders, mutual fund orders, fixed income transactions, and Unit Investment Trust transactions. Managed the firm’s error account and all purchase and sales functions, mitigating losses by negotiating with market centers for trade busts or by trading out of positions contra the error account. Created firms order blotter. Assisted in FINRA/ SEC audits. Coordinated with market centers for trade improvements and erroneous transactions. Maintained an accurate and real-time log of the error account for compliance and accounting purposes. Processed 90% of purchase and sale trade corrections, overriding holdings and balances to make customer good on transaction. Oversaw customer contact for canceled orders, corporate actions, and dividends. Established successful partner relationships for the firm. Assisted in restructuring and processing equity and option order flow databases, ensuring best execution and PFOF were evaluated to save costs and maximize profits. Created and managed continuous revisions of the firms trading manuals, and enforced those policies and regulations ensuring they were upheld by employees under direct supervision. Managed the AutoTrade program.

Human ResourcesSmall Electronic RepairTeam Leader