James Gordon

James Gordon has a strong background in compliance and trading roles. James started their career as a Trader at Timber Hill in 1994 before moving to Triangle Trading, where they worked as a Trader for eight years. In 2004, they joined FINRA (NASD) as a Derivatives Analyst, closing over 25 cases for the Trade Reporting team.

In 2006, James became a Compliance Officer at Wachovia Securities, LLC, providing guidance to Financial Advisors and various trading desks. James acted as a Subject Matter Expert for working groups and delivered presentations on regulatory topics.

From 2007 to 2008, James worked as a Trader at Breakwater Trading, managing positions in Treasuries and Treasury futures. James traded spreads to minimize risk and maximize profits, providing suggestions for improvements to the trading system.

James then moved to Federal Trading as a Trader in 2008, before joining Optiver US LLC in 2009 as a Compliance Officer. In this role, they reviewed regulations, interpreted their impact, and communicated with trading teams. James also drafted responses to regulatory inquiries.

In 2012, James worked as a Compliance Officer at Title Securities, Inc., reviewing regulations and assisting with regulatory exams. James then joined Advance Trading, Inc. in 2013 as Chief Compliance Officer, where they communicated with business units, developed procedures, and created a supervisory structure.

Most recently, James has been Chief Compliance Officer and Chief Operating Officer at Straits Financial LLC since 2019. In these roles, they interact with regulators, drafts responses to inquiries, and acts as the primary contact for regulatory exams.

James Gordon attended the University of Michigan from 1989 to 1993, where they pursued a degree in English. During their time at the university, they also studied subjects such as Psychology, Philosophy, and Economics. Following their education at the University of Michigan, no further information is provided about James Gordon's educational experience, apart from a mention of the school named Benet.