James Gordon Email & Phone Number

Naperville, Il, Us

Singapore, Singapore, Sg

Oversee all internal and external functions associated with operating as a registered Futures Commission Merchant.Keep abreast of regulatory requirements and rule changes from regulators and other SROs including CME, CFTC, NFA, OCC, and others.Assist in development and ongoing maintenance of third party back-office system.Collaborate with Compliance Department on regulatory exams, Introducing Broker onboarding, annual CCO report, and other projects.Responsible for overseeing all aspects of membership process to establish clearing on new exchanges.Monitor and collaborate with Risk Department to ensure the firm has appropriate risk controls in place. This includes reviewing firm risk on a daily basis, the Risk Exposure Report on a quarterly basis, and assisting with the review and update of Risk Management Program.Schedule and assist with third party audits including the annual Cybersecurity, Risk, and AML audits.Work with AML Chief Compliance Officer on AML policies and procedures, and other AML priorities.Assisted in establishing Over The Counter trading desk at affiliate firm. Responsible for vetting risk monitoring system and compliance aspects of OTC/Swaps trading.Develop and maintain strong relationships with business partners including Introducing Brokers (Independent and Guaranteed), CTAs, CPOs, and other key contributors.Collaborate on projects and business initiatives (Forex, OTC) with colleagues in other geographic areas including Singapore, Dubai, Indonesia, and Vietnam.Liaise with department heads, recruiters, and candidates to ensure proper staffing in all departments. Interview, draft job descriptions, and review resumes to bring in desired talent.Fluent with ADP Workforce to onboard new employees, ensure employment compliance, and track employee paid time off. Member of Executive Committee which conceives and implements new business channels, discusses relevant regulatory topics, and oversees governance of the firm.

Singapore, Singapore, Sg

Interact with regulators from NFA, CME, CFTC, and other SROs. Draft responses to regulatory inquiries. Compile data and act as primary contact for Regulatory Exams. Draft and update Information Systems Security Program. Work with third party Compliance Surveillance Tool Validus to develop/enhance reports for Anti-Money Laundering, Wash Trading, Churning, and other modules.Assist Introducing Brokers with regulatory obligations such as responding to NFA and CFTC.Act as AML Compliance Officer, update AML Procedures and ensure compliance.Monitor regulatory changes, identify gaps, and develop procedures. Draft and maintain firm Written Supervisory Procedures (“WSPs”).Responsible for the creation and submission of Annual CCO Report.Assist Commodity Pool Operators and Commodity Trading Advisors with regulatory requirements.Assist New Accounts by reviewing complex corporate structures, corporate documents and trusts.Work with management, Risk, Operations, New Accounts and Finance to ensure Compliance in these departments.Act as member of Executive Committee, which governs business objectives in the organization.Schedule, monitor and assure remediation of Annual Cybersecurity Assessment (third party).

Bloomington, Il, Us

Communicate with business units, identify regulatory gaps, and develop procedures. Create and modify supervisory structure as necessary including procedures, checklist, reports, and documentation. Draft Written Supervisory Procedures.Interact with regulators from NFA, CME, ICE, etc. Draft responses to regulatory inquiries. Compile data and act as primary contact in Regulatory Exams. Work with IT to develop reports for Anti-Money Laundering, Wash Trading, Front Running, and Commission review.Created Business Continuity Plan and testing process. Update plan quarterly and train staff.Assist clients with regulatory obligations such as Filing Form 40, requesting hedge exemptions, and filing for CFTC Interim Compliant Identifier.Use Presensoft to conduct review of e-mails, IMs and Social Media.Create and execute Business Audit to determine if proper controls are in place and if WSPs satisfy regulatory obligations.Conduct Branch Exams.Create and Conduct Branch Broker Training, BCP Training, and Annual Compliance Meeting.Manage Registrations, File Form 8R with NFA, Schedule Series 3 and 30 Exams.Review all promotional material, modify as necessary, document and file with NFA.Member of National Introducing Brokers Association Conference Committee.Attend Futures Industry Association events such as Legal and Compliance Conference and FIA Expo; also attended other industry events including Kent Conference on Futures and Derivatives.

Review regulations, interpret their impact, and communicate to CCO. Draft responses to regulatory inquiries. Compile data and otherwise assist in Regulatory Exams. File forms and update registrations in Web-CRD.Work with IT to develop trading surveillance tools for Cancellations, Layering, Spoofing, Regulation SHO, and Self-Trades.Draft Operational Procedures Manual and update Written Supervisory Procedures.Perform FinCEN reviews on trading staff, filing SARs when necessary.Use Global Relay to conduct review of e-mails, IMs and other communications.Query LifeCycle files and analyze pertinent data to determine if securities laws are being followed.Create and execute Written Supervisory Procedure Audit to determine if proper controls are in place and if WSPs satisfy regulatory obligations.

Review regulations, interpret their impact, and communicate to trading. Regulators currently working with: CBOE, ISE, ICE, NASDAQ, ARCA, AMEX, CME, FINRA, PHLX, and BATS.Draft responses to regulatory inquiries. Compile data and otherwise assist in Regulatory Exams.Work with trading team leads and IT to develop controls around electronic/algorithmic trading.Maintain and distribute daily position limit reports. Created and delivered Position Limit Training to entire trading department.Conceived, created and delivered Annual Compliance Meeting for 2011.Drafted Compliance Business Plan for 2012. The plan was submitted to, and approved by, Global Management Board.Created and executed desk review to develop supervisory processes and promote understanding of trading strategies in the department. Automated New Product Approval Process by accessing intranet resources; which proved more efficient and cost effective.Created template for Written Supervisory Procedures, adopted in all offices.Drafted sections of Market Making Manual and currently working on updating firm’s Written Supervisory Procedures. Participated in trader training program and received 98% on final exam.Responsible for interviewing potential compliance candidates.

Traded Treasury Futures and Eurodollars using the firm's systems and strategies.

Responsible for trading and managing positions in Treasuries and Treasury futures. Traded cash-cash, future-future, and cash-future spreads in order to minimize risk and maximize profit in the Treasury portfolio.Proficient using in-house proprietary trading system and made suggestions to technology staff for improvements.Proficient in using CQG charting services and Microsoft Excel for use in developing trading strategies.Participated in numerous training sessions and mentor programs to increase understanding of Treasury products.

San Francisco, California, Us

Provided guidance and counsel to Financial Advisors (FAs) across the country as well as various trading desks including: NASDAQ/OTC, Options, Managed Money, Commodities, Listed Block, Fixed Income and Structured Products. Acted as Subject Matter Expert for various working groups including Regulation NMS, Regulation SHO, Regulation S, NASD Order Audit Trail System (“OATS”) Phase 3 and OATS for OTC.Developed, led, and delivered presentations for the Trading Oversight Committee and Lunch and Learn Program covering such topics as Regulation NMS, Regulation S, and OATS.Developed, implemented, and executed Desk Review process to ensure NASD Trading and Market Making Surveillance (“TMMS”) compliance. Proficient in the use of Beta, SmartStation and other compliance and trading related software.Drafted Equity Compliance Officer Policies and Procedures.

Investigated ISE referrals, verified data, contacted member firms and independently maintained over 75 cases.Interacted with ISE surveillance, NASD legal, and ISE Member Firms in order to provide fair and accurate resolution in every case.Assisted other teams in the Market Regulation Department, closed over 25 cases for the Trade Reporting team.Twice recipient of NASD’s “Above and Beyond” award for outstanding casework.Developed, led, and delivered presentations for Step and Current Issues covering such topics as Derivatives Trading, Intermarket Linkage, and Structured Products.Worked with Business Solutions department in the development of the NASD Structured Product Surveillance System.Participated in Mentor Program at Gaithersburg Middle School.

Market Maker Simultaneously traded and managed risk in 20 different options classes on floor of CBOE.

English, English, Psychology, Philosophy, Economics

Education record