- June 10, 2019
- Posted by: giawatkins
- Category: CFI News, Professional Insights
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.