Leigh Emery
About Leigh Emery
Leigh Emery serves as the Vice President and Chief Compliance Officer for The Dynasty Network, bringing extensive experience in regulatory compliance and investment advisory services. With a background in banking and legal studies, Emery has held various positions in notable financial institutions and is currently pursuing a Master's degree in Law at Seton Hall University.
Work at Dynasty
Leigh Emery serves as the Vice President and Chief Compliance Officer for The Dynasty Network at Dynasty Financial Partners. Since joining the organization in 2017, Emery has been responsible for overseeing compliance operations and ensuring adherence to regulatory standards. This role involves drafting custom compliance policies and procedures tailored for investment advisers. Emery also coordinates and assists with SEC and NFA examinations, leveraging expertise in regulatory compliance to guide firms through the complexities of the regulatory landscape.
Education and Expertise
Leigh Emery has a diverse educational background. Emery studied Business Management at the University of Phoenix, earning a Bachelor of Science degree between 2008 and 2011. Additionally, Emery pursued further education in law, currently studying at Seton Hall University School of Law. Emery also attended Columbia University in the City of New York, focusing on Law, Business Finance, and Corporate Finance from 2014 to 2015. This combination of studies supports Emery's extensive experience in compliance and regulatory matters.
Background
Prior to joining Dynasty Financial Partners, Leigh Emery held various positions in the financial services industry. Emery worked at Investors Bank as a Personal Banker from 2008 to 2010 and later served as a Banking Center Manager at Bank of America for a brief period in 2010. Emery's experience also includes roles at The Blackstone Group and Constellation Advisers, LLC, where Emery focused on legal and compliance matters. This background has contributed to a comprehensive understanding of compliance requirements across different financial institutions.
Achievements
Leigh Emery has developed a strong reputation in the field of compliance, particularly in drafting custom compliance policies and executing various regulatory filings, including Form ADV and Form PF. Emery facilitates continuing professional education sessions and engages in public speaking to share knowledge on compliance topics. Additionally, Emery conducts custom compliance testing and mock SEC/NFA examinations, preparing firms for regulatory scrutiny and ensuring they meet necessary compliance standards.