Emily Gordy

About Emily Gordy

I have more than 25 years of experience at all levels of securities regulation. I have held several senior enforcement positions at the SEC and FINRA (Financial Industry Regulatory Authority), as well as in FINRA\'s examination department. I have extensive experience addressing a wide range of compliance and enforcement issues affecting broker-dealers, public companies, investment companies, and investment advisers. I have extensive anti-money laundering (AML) experience, as well as extensive knowledge in other areas, including disciplinary policy, suitability, membership application, and statutory disqualification. Through my wide-ranging regulatory experience, I have developed extensive contacts in the securities regulatory community, including regulators, in-house, and the defense bar. I am a proven regulator with extensive knowledge of regulatory requirements, insights into regulatory operations, strong collaborative skills, and excellent judgment.

Experience

1. Partner

   King & Spalding

   Apr 2024 — Present · DC, US

Education

• Gettysburg College

  B.A., Political Science

• American University Washington College of Law

  J.D.

Skills

• Broker-Dealer
• Finra
• Hedge Funds
• Financial Regulation
• Aml
• Enforcement
• USA Patriot Act
• Fraud
• Corporate Governance
• Dodd-Frank
• Mutual Funds
• Investment Advisory
• Policy
• Anti Money Laundering
• Investment Advisers Act
• Capital Markets
• Series 7
• Leadership
• Series 24
• Securities Litigation
• Fixed Income
• Litigation
• Ofac
• Program Management
• Private Placements
• Securities Regulation
• Securities
• Private Investigations
• Compliance
• Sec
• Internal Investigations