Em Walker, Service Partner

Ms. Em Walker, M.P.A. is the Founder and Senior Managing Consultant of Strategic Compliance Consulting, LLC, based in suburban Atlanta, GA. Em has over 17 years of combined regulatory and financial services industry experience. This experience has solidified her extensive knowledge of state and federal securities laws and the corresponding compliance examination and investigative techniques.  

 

Prior to establishing Strategic Compliance Consulting, Em was a state securities regulator serving as the Director of Securities Registration and Licensing for the Georgia Securities Division. As Registration and Licensing Director, she was responsible for managing all aspects of Securities Registration, Broker-Dealer, Investment Adviser, Agent, and Representative licensing and examination responsibilities pursuant to the Georgia Uniform Securities Act and its predecessor, the Georgia Securities Act of 1973.

 

Additionally, Em was the CRD/IARD Administrator for the State of Georgia, managing access to registration applications and reporting tools for the Securities Division. Em was also an active participant in NASAA (North American Securities Administrators Association) committees, serving on NASAA’s Series 63, 65, and 66 Investment Advisory Exam Writing Committee for four (4) years and participating in NASAA’s Investment Adviser Southeast Zone Meetings during her employment with the Securities Division.

 

Before joining the Georgia Securities Division, Em worked for a joint broker dealer-investment advisor firm in Birmingham, Alabama, and held positions as Assistant Vice President and Investment Officer.