Joy Embrey
About Joy Embrey
Joy Embrey serves as the Director and Senior Marketing Principal at UBS, bringing over seven years of experience in regulatory and compliance roles within the financial sector. Her previous positions include work at The Carlyle Group and FINRA, where she developed a strong expertise in advertising regulation and compliance.
Current Role at UBS
Joy Embrey serves as the Director, Sr. Marketing Principal at UBS, a position she has held since 2024. In this role, she focuses on marketing compliance and regulatory adherence within the financial services sector. Her responsibilities include ensuring that all marketing materials align with industry regulations and standards. Joy's extensive background in compliance and regulatory analysis supports her effectiveness in this position.
Previous Experience at The Carlyle Group
Prior to her current role, Joy worked at The Carlyle Group as a Senior Analyst in Legal & Compliance from 2022 to 2023. During her time there, she contributed to the firm's compliance efforts, focusing on regulatory requirements and legal considerations in financial operations. This experience enhanced her understanding of compliance frameworks within large financial institutions.
Experience at FINRA
Joy Embrey has significant experience with FINRA, where she held various roles from 2019 to 2022. She worked as a Regulatory Analyst in Advertising Regulation and Fixed Income Investigations. Her work involved analyzing compliance with advertising rules and conducting investigations related to fixed income products. This experience provided her with a deep understanding of FINRA and SEC regulations, which is vital for her current compliance responsibilities.
Educational Background
Joy Embrey earned a Bachelor of Arts (B.A.) in Psychology from George Mason University, where she studied from 2013 to 2016. This educational background has contributed to her analytical skills and understanding of human behavior, which are beneficial in her roles within the financial services industry.
Regulatory and Compliance Expertise
With over 7 years of experience in Broker-Dealer and Investment Advisor roles, Joy has developed a strong focus on regulatory and compliance aspects of financial services. She possesses FINRA registrations S7 and S24, which are essential for her compliance role at UBS. Her expertise in FINRA/SEC Advertising Rules is crucial for her responsibilities as a principal approver for advertising and marketing compliance.