James Gordon

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James Gordon
JamesGordon.jpeg
Occupation Chief Compliance Officer
Employer Straits Financial LLC
Location Chicago
LinkedIn Profile
Website www.straitsfinancial.com

James Gordon is a Chicago-based financial markets compliance executive, former regulator and former options trader who serves as the chief compliance officer of Straits Financial LLC.[1][2]

In his role at Straits, he is responsible for all CFTC, NFA, and exchange-related compliance and he assists Guaranteed Introducing Brokers of Straits with their regulatory requirements.[3][4]

Gordon entered the markets as a runner with Prudential at the Chicago Mercantile Exchange after graduating from the University of Michigan and was looking for a job during a year off before he expected to attend law school. Instead, he worked his way up to being a trader with Timber Hill at the Cboe.

Background

Before Gordon joined Straits Financial LLC in January of 2019, he was the chief compliance officer for Advance Trading, Inc. in Bloomington, IL for five years.

He has also served in compliance roles for Title Securities, Inc., Optiver US LLC, Wachovia Securities, LLC and had served as a derivatives analyst with FINRA.

He had been a trader with Federal Trading, Triangle Trading and Timber Hill.

Education

Gordon has an English degree from the University of Michigan.

Open Outcry Traders History Project

Gordon was interviewed by John Lothian News in early 2020 for the MarketsWiki Education Open Outcry Traders History Project.

References

  1. GORDON: FORMER TIMBER HILL OPEN OUTCRY TRADER STORY {{{name}}}. John Lothian News.
  2. Our Team. Straits Financial LLC.
  3. Straits Financial FCM Disclosure Document. Straits Financial LLC.
  4. James Gordon. National Futures Association.