Compliance Director, Chief Compliance Officer
Emily is a senior member of our compliance group and is an active participant on our firm’s Compliance Committee. In addition to serving as a Chief Compliance Officer to our clients, Emily works with a wide variety of clients to ensure their compliance program is implemented, maintained and monitored.
Emily is a lawyer and experienced compliance professional who spent nearly 15 years at The Vanguard Group where she worked in a variety of compliance management positions. She has an especially deep background with mutual fund and investment adviser marketing. Emily has also worked as a legal journalist during her career.
Emily earned a B.A in History from the University of Rochester, a Master’s Degree in Media Administration from Syracuse University and her Juris Doctor (cum laude) from the Syracuse University College of Law. She has obtained the following FINRA licenses: Series 7 and 24. She is author of “Compliance Considerations for Mutual Fund Advertising: Collaboration is Key, Distribution in Guise: SEC Places Increased Emphasis on Fund Boards to Detect These Arrangements”, and “Considering Sending Your Clients Consolidated Statements? Make Sure You Have Adequate Supervision in Place”, which were published in Practical Compliance & Risk Management for the Securities Industry.
During her time away from CCS, Emily enjoys spending time with her husband and two children. Emily also enjoys skiing and playing squash.