Thomas Popp
About Thomas Popp
Thomas Popp serves as a Compliance Officer at Clear Street, where he has worked since 2022, providing guidance on various compliance matters. He has extensive experience in the financial industry, having held senior compliance roles at several prominent institutions.
Work at Clear Street
Thomas Popp has been serving as the Compliance Officer at Clear Street since 2022. In this role, he provides senior-level guidance across various areas, including prime brokerage, clearing, equity sales and trading, fixed income/repo, stock loan, surveillance, supervisory, anti-money laundering (AML), and regulatory matters. His expertise contributes to the effective management of compliance programs within the organization.
Previous Experience in Compliance
Before joining Clear Street, Thomas Popp held significant positions in compliance at various financial institutions. He worked as a Vice President - Compliance Officer at BNY Mellon from 2003 to 2005. Prior to that, he served as a Director - Compliance Officer at Merrill Lynch for nine years, from 1994 to 2003. He also held a Compliance Officer position at Smith Barney Brokerage Firm for seven months in 1994.
Regulatory Knowledge and Expertise
Thomas Popp possesses extensive regulatory knowledge that is essential for implementing and managing successful compliance programs. His experience spans various aspects of compliance, including regulatory matters and supervisory responsibilities. This expertise is crucial for navigating the complexities of the financial industry and ensuring adherence to legal and regulatory standards.
Educational Background
Thomas Popp studied at the State University of New York at Fredonia, where he earned a Bachelor of Business Administration (B.B.A.) degree with a focus on Finance, General. His studies took place from 1987 to 1989, providing him with a solid foundation in financial principles that supports his career in compliance.
Early Career Experience
Thomas Popp began his career as a Tax Auditor/Examiner at the Internal Revenue Service in 1990, where he worked for six months. He then transitioned to the New York Mercantile Exchange, serving as a Senior Trading Analyst from 1991 to 1994. This early experience in trading and auditing laid the groundwork for his subsequent roles in compliance within the financial sector.