CFI Professional Insights Series: Featuring Emily Gordy

Drawing on her unique combination of experience as a regulator and in-house counsel, Emily Gordy handles a wide range of compliance and enforcement issues affecting broker-dealers, investment advisers, investment companies, and municipal securities dealers. Emily has extensive expertise in Anti-Money Laundering (AML), and in other regulatory areas, including supervision, suitability, disclosure, books and records, municipal securities and public finance, and statutory disqualification.

In her interview with CFI, Emily covers:

  • Why she pursued a career in law and compliance
  • How the SEC and FINRA internal cultures differ
  • Her transition from public service to private practice
  • One compliance best practice for firms to follow
  • People who’ve served as her greatest sources of inspiration

To learn more about Emily, and her opinions on a wide range of topics, click here to read our entire interview.