Luke Willets

• Manage a Team of 7 covering 24 hours 5 days a week responsible for monitoring the health of connections to market centers and triage order disruptions, rejections, and issues of held and not held flow across equities, fractional/notional, options and event contracts.
• Build and maintain relationships with market makers and exchanges ensuring a high quality execution services and alignments with strategic goals.
• Adapt quickly to changing regulatory environments, by staying ahead of market structure, trading execution trends, and regulatory developments to ensure compliance in SOPs and WSPs in trading operations.
• Oversee processes to meet regulatory requirements, including SEC 606(a) reporting, and continuously monitor performance against industry benchmarks.
• Manage and review monthly PFOF billing to equity and options market makers
• Work closely with product, engineering, legal, compliance, operations, and risk teams to ensure alignment with regulatory standards and trading policies.
• Collaborate with product managers to implement technology enhancements to improve execution efficiency, transparency, and regulatory compliance.

• Senior Manager and Principal tasked with tackling an enterprise-wide fix of self identified issues brought to FINRA.
• The four phase roll out will focus on crafting and resetting written supervisory procedures to meet FINRA and OCC standards,
• Charged with crafting and implementing new FA error procedure and process to cover and document trade errors, streamlining FA experience, and reducing business/error expenses by curbing the time to cover and close all error issues.

• Senior Sales Trader handling largest retail accounts tasked with working oversized not held orders to ensure stealth execution.
• Sourced liquidity via Street relationships, exchange relationships and dark pools to print trade to the tape minimizing impact.
• Execute massive modeled portfolio rebalances via auction through our 7 Authorized participants (ETF providers)
• Managed Month billing from executing venues.
  
  

A wholly-owned subsidiary of Bank of America, Inc. charged as a market maker for nearly 400 listed companies, including 9 Dow components and over 75 companies in the S&P 500. Trading volume
comprises nearly 20% of the total volume on the NYSE.

Managed a team of 2-3 back up clerks who assisted me in writing broker execution reports, billing reports, and order entry in secondary stocks

Specifically managed making markets in: HES, GS, and X