Stephanie Dempster

Experience

• 

  US Army

  Mar 2003 - Jun 2007

  Sergeant

  Human ResourcesSmall Electronic RepairTeam Leader

• 

  TradeKing

  Jul 2007 - Feb 2015

  Supervisor/Manager of Trading Desk

  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. Show less

• 

  Ally

  Jul 2007 - Oct 2020

  Best Execution and Trade Reporting (OATS & CAT) Trading

  • Manager

    Jul 2019 - Oct 2020

  • Manager

    Jul 2007 - Oct 2020
• 

  Robinhood

  Oct 2020 - Nov 2021

  Clearing Operations Manager (Execution Services)
• 

  TradeStation

  Nov 2021 - now

  Senior Director of Brokerage Operations & Audits