Chief Compliance Officer
Clear Street, LLC
Christy (Oeth) Moccia joined Clear Street LLC and Clear Street Markets LLC as Chief Compliance Officer (“CCO”) and AML Compliance Officer (“AML CO”) on April 8, 2019. Ms. Moccia most recently served as CCO and AML CO for Virtu Americas LLC and Virtu Financial Capital Markets LLC, both FINRA member broker-dealers and subsidiaries of publically traded Virtu Financial, Inc. (collectively “Virtu”). Virtu is a leading market maker in the United States and globally, providing two-sided liquidity in 20,000 financial products in all major US and global market centers. In her role, Ms. Moccia was responsible for Virtu’s US compliance program and oversaw a staff of ten compliance officers. Virtu’s US broker-dealers were self-clearing, provided limited correspondent clearing services and provided RVP/DVP clearing accounts to institutional customers, both direct customers as well as customers introduced by Virtu’s Irish affiliate, Virtu Financial Ireland Limited. At Virtu, Ms. Oeth served on the Firm’s Global Risk Management, Best Execution and Global Management Committees. Prior to joining Virtu as part of Virtu’s acquisition of KCG, Ms. Moccia served in a similar role at KCG Americas LLC between January 2014 and July 2017 and in a variety of compliance roles at Knight Capital Group between September 2009 and January 2014. While there, she was a member of the Firm’s Asset and Liability Committee (“ALCO”) and SEC Rule 15c3-5 (“Market Access Rule”) Committee. At Knight, Ms. Moccia was the dedicated compliance officer for Knight’s self-clearing broker-dealer and worked with the team who built and launched Knight’s self-clearing platform in 2009. Overall, Ms. Oeth has over 18 years of regulatory compliance experience. She holds Series 4, 7, 24, 57 and 63 licenses. Ms. Moccia currently serves on FINRA’s SIE Exam Writing Committee and is a member of the Consolidated Audit Trail Advisory Committee and previously served on the Uniform Practice Code Committee.