Financial Markets Consulting, LLC
126 S. Harvey Ave.
Oak Park, IL 60302
United States
sutphen
Leslie Sutphen founded Financial Markets Consulting in 1998. Since that time, she has been involved in many roles in the listed derivatives industry including working with the industry to craft rules and best practices for electronic trading, working with the CFTC and FIA to streamline Ownership and Control reporting, surveying the top 20 FCM’s on trends in clearing and trade processing. She also held two management positions for her clients – Head of Electronic Trading at Newedge (now SocGen) and Head of Strategy at Chopper Trading (now part of DRW Trading). Prior to founding Financial Markets Consulting, she held management roles at Prudential Bache Securities and traded on the CBOE. Ms. Sutphen holds a Masters of Management in Finance and Marketing from Northwestern University's Kellogg School of Management and an AB magna cum laude from Mount Holyoke College in Massachusetts. She also co-founded the organization Women in Listed Derivatives (WILD)
Jim Moran has 30+ years of experience as a Regulatory Professional in the derivatives industry. Jim spent the bulk of his career at CME Group, working a variety of staff and management roles in the Market Regulation Division. Jim headed the Investigations and Enforcement Unit for several years before taking on a role as Global Head of Regulatory Technology and Strategy in Market Regulation. In that role, Jim led the systems team that developed and adapted CME’s market surveillance systems for electronic trading which included book reconstruction, alerting, and market abuse detection. Jim also made important contributions to many of CME’s strategic development projects including the mergers with the CBOT and NYMEX, the development of OneChicago, and the creation of CME Swap Execution Facility and CME Swap Data Repository. Jim has B.S. and M.A. degrees from DePaul University and an MBA from the J.L. Kellogg Graduate School of Management. He was a board member of CME’s PAC, and has served on many industry groups including the Intermarket Surveillance Group, The Joint Compliance Committee, The CFTC Technology Advisory Committee, and the board of the FIA Operations Americas Division.
James Carey McDonald has had a variety of roles in the financial services industry including sales, sales support and trading across a variety of asset classes, but primarily in derivative products. The overarching theme has been managing the transition from open outcry and voice to electronic trading. This took the form of supervising cross functional units providing client service and support for institutional trading in low latency and generally high frequency trading systems at UBS, SocGen and Jefferies. Direct responsibility usually consisted of a project management/product delivery group, a trading system administration group and multi-level support desks located in major trading centers around the globe. These positions required interaction with technology units providing server and network services, FIX API solutions and developing policies and procedures to ensure compliance and risk management requirements were met. Carey’s educational background includes a B.S. in Economics from the U.S. Naval Academy, an MBA from Lake Forest and he is a graduate of the Command and Staff College of the U.S. Naval War College.
Copyright 2010 Financial Markets Consulting, LLC. All rights reserved.
Financial Markets Consulting, LLC
126 S. Harvey Ave.
Oak Park, IL 60302
United States
sutphen