Emily P. Gordy Partner

Emily advises her clients as they navigate complexities inherent in the securities-regulatory environment. Drawing on her wealth of experience as a regulator, she handles a wide range of compliance and enforcement issues affecting broker-dealers, fintech companies, investment advisers, investment companies, and municipal securities dealers.

Emily has extensive anti-money laundering (AML) experience. At the Financial Industry Regulatory Authority (FINRA), she was involved in development of key AML regulatory guidance issued by FINRA and regularly coordinated with the Securities & Exchange Commission (SEC) staff on responding to developing issues in the AML space. Emily also served as FINRA’s liaison to the Bank Secrecy Act Advisory Committee (BSAAG), a key Treasury, financial regulator, and industry AML advisory group. Emily also advised on AML issues arising in examinations and enforcement cases. While in-house at a large broker-dealer/investment adviser, Emily advised the AMLCO and various AML Committees on a variety of KYC/CIP and SAR policy issues. In her current practice, Emily has advised broker-dealers/investment advisers, banks, and Fintech companies on a variety of AML issues. 

Emily also has extensive experience in a variety of other SEC/FINRA regulatory areas, including, among others, Regulation Best Interest, supervision, conflicts of interest, suitability, disclosure, books and records, and registration and licensing issues, including statutory disqualifications. While at FINRA, Emily also provided guidance on privacy regulatory obligations and enforcement cases involving data breaches. As in-house counsel, she provided counsel on the firm’s data privacy and security efforts, advising on compliance measures, incident response, and regulatory examinations.

Having spent over twenty-seven years at the SEC and FINRA, Emily is also well-versed in the examination and enforcement practices, policies, and expectations of financial services regulators.

Prior to joining McGuireWoods, Emily served as Deputy General Counsel, Executive Vice President for one of the largest retail investment broker-dealer/investment advisory firms. Prior to going in-house, Emily served in a variety of senior management positions within FINRA’s Enforcement and Member Supervision Departments, at one point serving as Deputy Head of Enforcement. At the SEC, Emily served as Deputy Chief Counsel of the Division of Enforcement.

  • American University Washington College of Law, JD, cum laude
  • Gettysburg College, BA, magna cum laude
  • Honoree, National Law Journal’s Regulatory & Compliance Trailblazer, 2015
  • NASD/NYSE Integration Team Award, Financial Industry Regulatory Authority, 2007
  • Award for Collaboration and Shared Commitment -- First Recipient of the Susan Lewis Award, National Association of Securities Dealers, 2005
  • President’s Award (AML), National Association of Securities Dealers, 2002
  • Supervisory Excellence Award, Securities Exchange Commission, 1994
  • District of Columbia
  • Maryland
  • Panelist, "Digital Engagement Practices, Trends and Regulatory Considerations," Compliance & Legal Virtual Forum, SIFMA, November 15, 2022
  • Moderator, "SEC Enforcement," National Society of Compliance Professionals Regulatory Interchange, February 24, 2022
  • Speaker, "AML Program Evolution and Regulatory Expectations," 2021 Securities Compliance Webinar, Financial Markets Association, April 30, 2021
  • Speaker, "What to Expect in Your Next Exam (and How to Prepare)," Mid-2020, What to Expect… A Look Toward the Future, July 8, 2020
  • Speaker, Regulatory Update: How the COVID-19 Crisis Is Shaping the Broker-Dealer and Investment-Adviser 2020 Regulatory Space, April 6, 2020
  • Panelist, "Breakout 2B – Financial Crimes: You Make the Call!," SIFMA Anti-Money Laundering & Financial Crimes Conference, New York, NY, February 6, 2020
  • Speaker, "Product Supervision and Hot Topics," Fidelity Broker-Dealer Compliance Roundtable, April 2019
  • Speaker, "SEC Crackdown on Tech System Compliance," SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, March 19, 2019
  • Speaker, Security and Privacy Issues for Fiduciaries and Clients, American Bankers Association Webinar, February 7, 2019
  • Panelist, "Communications with the Public/Social Media," UNC School of Law Financial Services Compliance Boot Camp, June 2018
  • Speaker, "Fiduciary Investment Advice: Litigation and Enforcement Perspectives," Fiduciary Investment Advice 2018, PLI, New York, NY, May 2018
  • Panelist, "Lessons Learned from Recent AML Enforcement Actions," FINRA Annual Conference, Washington, D.C., May 2017
  • Panelist, "Privilege and Work Product Protections: Ethical Considerations for In-House Teams," SIFMA Compliance & Legal Society, Annual Conference, San Diego, California, March 2017
  • Panelist, "The Sales Practice Examination Process (Medium and Large Firm Focus)," FINRA Annual Conference, Washington, D.C., May 2016
  • Moderator, "Navigating Senior Management through the Litigation and Enforcement Process," SIFMA Compliance & Legal Society, Annual Conference, Orlando, Florida, March 2016
  • Panelist, "Anti-Money Laundering," FINRA Woodbridge District Office, Member Compliance Event, Tarrytown, NY, June 2015
  • Panelist, "Key Trends in AML – Global Movements & Domestic Developments," The Canadian Institute, Toronto, Canada, April 2015
  • Panelist, "Municipal Securities Issues," National Association of Compliance Professionals, Regional Conference, St, Louis, MO, April 2015
  • Panelist, "FINRA Dispute Resolution Activities," PLI, New York, NY, July 2014
  • Panelist, "Enforcement Developments," FINRA Annual Conference, Washington, D.C., May 2014
  • Panelist, "SEC and FINRA Investigations Regarding Hedge Funds, Asset Managers, Broker-Dealers, and Other Institutional Investment Entities," Securities Enforcement Forum 2013, Washington, D.C., October 2013
  • Panelist, "Suitability – Small Firm Perspective," FINRA Annual Conference, Washington, D.C., May 2013
  • Panelist, "Who is Your Customer? Implementing Best Practices on Know Your Customer and Anti-Money Laundering, Fraud Detection, Surveillance, and Enforcement in On-Line Trading Space," Thomson Reuters – On-Line Financial Services Symposium, New York, NY, March 2013
  • Panelist, "Enforcement Focus on Attorneys and Compliance Professionals," SIFMA, Charlotte Regional Seminar, Charlotte, NC, September 2012
  • Moderator, "Electronic Market Access," FINRA Annual Conference, Washington, D.C., May 2012
  • Panelist, "Outside Business Activities," FINRA Annual Conference, Washington, D.C., May 2012
  • Moderator, "OFAC Compliance for FINRA Firms," FINRA Webinar, Washington, D.C., August 2010
  • Panelist, "Dialogue with Area Regulators," National Association of Compliance Professionals, New England Regional Membership Meeting, Boston, MA, March 2010
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