Speakers

Emilie is a Managing Director with Iron Road Partners, a regulatory consulting firm that specializes in serving the alternative investments industry.  Emilie leverages her industry experience and unique regulatory background to help sophisticated investment managers mitigate risk and implement effective compliance programs.

Before Iron Road, Emilie worked at the U.S. Securities and Exchange Commission for over eight years, most recently as Branch Chief of the Division of Examinations, Event and Emerging Risks Examination Team (EERT), where she investigated several high-profile market incidents and cybersecurity breaches. Emilie began her SEC career as an examiner conducting numerous exams across complex private funds, investment advisers, and investment companies. Emilie then helped form and lead the EERT where she investigated a wide range of emerging risks within the industry and conducted exams of firms affected by significant market events. 

While at the SEC, Emilie led and completed many examinations of investment advisers and private funds, several of which resulted in enforcement action. Some issues and deficiencies identified included breaches of fiduciary duty, violations of the Investment Advisers Act’s anti-fraud provisions, valuation, fee and expense allocation, co-investments, portfolio management, risk management, related party transactions, conflicts of interest, custody, cybersecurity, and alternative data.

Before joining the SEC, Emilie was a Senior Auditor with Ernst & Young’s Global Asset Management Practice where she led global teams to perform financial statement audits of investment advisers and private funds, with a focus on hedge, private equity, and venture capital funds.

Emilie holds a Bachelor of Science degree in Commerce with a major in Accounting from Santa Clara University Leavey School of Business.