James Gordon

James Gordon

CCO

In his duties as Chief Compliance Officer, Jim Gordon is responsible for all CFTC, NFA, and exchange-related Compliance. Jim also assists Guaranteed Introducing Brokers of Straits with their regulatory requirements. Mr. Gordon has been in the finance industry for over 20 years. He began as a clerk on the CME floor, moved on to become a market-maker on the Chicago Board Options Exchange, and later an Analyst in market regulation at the National Association of Securities Dealers (currently known as FINRA). Since 2005, Jim has been in Compliance, first at Wachovia Securities and later serving as CCO at Advance Trading. Jim attends various industry-related events such as FIA L&C and Chicago Kent’s Conference on Futures and Derivatives to keep abreast of Compliance trends. In his spare time, Jim enjoys golf and attending University of Michigan sporting events. He and his wife Kelly have four children.