Capital Markets Advisors

Turning Change Into Opportunity


1 (1)Elizabeth (Liz) James is a Chicago based Associate Partner and Head of Capital Markets Advisors’ Clearing and Exchange Practice. Liz is a seasoned Futures and Options professional with extensive knowledge of clearing arrangements, exchange products, global operations, client service, product management, financial control, relationship management and Institutional sales.

Liz has in-depth knowledge of futures and options processing models and is fluent on evolving regulatory rules and exchange requirements. Her career highlights include but is not limited to transferring regional hubs to main offices, spearheading initiatives on FCM’s self-clearing across multiple exchanges, performing reviews and target state assessments for FCM’s to establish best practices and processing standards for maximum efficiency and global compliance. Liz organized and ran the acquisition of Lehman’s futures business at the time of the bankruptcy for the global business, operations and client service to ensure everything was transferred in accordance with the bankruptcy courts and CFTC rulings.

Liz also functioned as an expert witness across various high profile cases involving exchange traded derivative products. She testified for Barclays on all aspects of the futures takeover in 2008. Liz was also named an expert in the litigation involving the bankruptcy proceedings with respect to MF Global.

Liz currently holds a Series 3 and 30 licenses, chaired OCC futures sub-committee 2010-2011 and continues to play a leading role with the Futures Industry Association (FIA) on key industry initiatives (i.e. impacts of Dodd-Frank legislation on exchange traded and cleared derivatives).

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