James Barclay
Chief Operating Officer @Arb Trading Group
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WORK HISTORY
Chief Operating Officer @Arb Trading Group
New York, NY, US
Lead day-to-day operations of a proprietary trading firm with 200+ trader on ARB’s Proprietary Trading Platform. Serve as principal of the firm’s broker-dealer affiliate. Drive business development by recruiting traders and building strategic relationships with other firms. Manage all external relationships with exchanges, clearing firms, counterparties, and vendors. Work with external counsel on corporate structure optimization and MIFID II regulatory formation. Oversee risk management intervention for material traders.
EDUCATION
Queen's University
Bachelor of Commerce (B.Com.), Finance, General
SKILLS
ABOUT JAMES BARCLAY
Chief Operating Officer with 20+ years in proprietary trading. I lead operations, compliance, riskmanagement, and business development for firms trading derivatives across global exchanges.• Established a broker-dealer (WSPs, compliance framework, FINRAregistration)• Established a MIFID II Investment Firm • Onboarded with dozens of counterparties to establish banking, prime/executing/voice voice broker relationships.• Established memberships at CBOE, Eurex, CME, ICE, SGX, FMX, and other exchanges.• Formed international entities (Cayman Islands, Croatia, Dubai) for crypto andglobal trading• Reorganized corporate structures across holding, operating, and investing companies• Collaborated extensively with external and internal counsel on contracts, employment, regulatory, and transactional matters• Full career path from trading floor clerk to options trader to risk manager to COO• Hands-on across US (FINRA), EU (MIFID II), and Asia (Japan KLFB) regulatory regimesFINRA: Series 7 | Series 24 | Series 57
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