Expertise
Fixed Income Products, Equity Products, Capital Markets Operations, Capital Markets Compliance, Data Integrity, FINRA and SEC Exams and Enforcement , Municipal Continuing Disclosure , Order Management Systems, T+1 Settlement, Trade Confirmation Reviews, Municipal Minimum Denominations, Best Execution, Fair Pricing, Reasonableness of Compensation, Reg NMS Rule 605 & Rule 606, Surveillance and Supervisory Report Reviews, Prevailing Market Price, Markup Disclosure, TRACE and MSRB Trade Reporting, Municipal Securities Underwriting, Buy and Sell Side Compliance Program Management, 15c2-11, Policies and Procedures, Separately Managed Account Programs, Time of Trade Disclosures, FINRA 4210 Covered Agency Transactions
(For search purposes, not intended to be a comprehensive list)
Expertise
Fixed Income Products, Equity Products, Capital Markets Operations, Capital Markets Compliance, Data Integrity, FINRA and SEC Exams and Enforcement , Municipal Continuing Disclosure , Order Management Systems, T+1 Settlement, Trade Confirmation Reviews, Municipal Minimum Denominations, Best Execution, Fair Pricing, Reasonableness of Compensation, Reg NMS Rule 605 & Rule 606, Surveillance and Supervisory Report Reviews, Prevailing Market Price, Markup Disclosure, TRACE and MSRB Trade Reporting, Municipal Securities Underwriting, Buy and Sell Side Compliance Program Management, 15c2-11, Policies and Procedures, Separately Managed Account Programs, Time of Trade Disclosures, FINRA 4210 Covered Agency Transactions
(For search purposes, not intended to be a comprehensive list)
Kat Miller has been in the financial industry since 2005. During that time, she has worked in many areas of a brokerage firm but found her passion in trading operations and regulation in 2010.
Expertise:
• Experience in nearly every operational space, having worked at four financial institutions ranging in all sizes, both introducing and self-clearing.
• Developed, maintained, and administered multiple order management systems, offering aggregators, and trading supervisory systems.
• Experience in Fixed Income Capital Markets for both institutional and private wealth.
• Handled regulatory aspects as the business unit, including regulatory system enhancements, creation and updates to procedures, and FINRA and SEC inquiries and exams.
• Created strategic and efficient processes for trading operations.
Education and Credentials:
• Bachelor's degree, Indiana University
• Obtained FINRA Licenses 7, 63, 9, 10, 23, and 99
• President, Security Traders Association of St Louis (STASL)
• Co-creator/organizer, St. Louis Regulation and Operations Networking Group (STRONG) Round Tables
Curriculum Vitae
SER Associate Member