Cathy Van Houten Email & Phone Number

Greater Chicago Area

Greater Chicago Area

Greater Minneapolis-St. Paul Area

Responsible for establishing and maintaining the trading, clearing and regulatory reporting functionality. As the leader of Trading Operations, responsible for order entry and execution, clearance (P&S), security master pricing and regulatory trade reporting requirements (OATS, ACT, TRACE, TRF, and RTTM), in all products – general securities (exchange.

Greater Minneapolis-St. Paul Area

Contractor participating on a conversion to the Thomson Reuters Inc., Beta-Host mainframe system.

Partnered with internal and external teams to develop trading capabilities for client use on a new platform for Ameriprise Financial. Responsible for ensuring existing trading functionality and rules on legacy client sites were migrated and improved upon. New order entry and order status pages were created. A new rules engine was developed, rules written.

Managed the day-to-day business of the equity and options trading desk, trade corrections, and regulatory reporting on the Beta-Host platform. Managed staff in Minneapolis, MN and Manhattan, NY. Responsible for managing yearly budget of trading operations. Responsible for review and approval of firm invoices for data services.

Detroit, MI

Exercised management responsibility for equity and options trading desks, trade corrections, and regulatory reporting. Provided expertise and guidance to maintain highly efficient and productive trading operations in compliance with company and industry rules and regulations. Diagnosed trading systems issues, and led the recovery effort. Managed staff in.

Detroit, MI

Managed all aspects of the agency trading department comprised of listed, NASDAQ, OTC, options trading and trade corrections. Responsible for training incoming trader-trainees on various proprietary systems used at the firm, industry practices, rules and regulations until trainee passed licensure requirements. Frequently aided Corporate Counsel in the.