Emily Pierce

Head of US Equity Compliance , RBC Capital Markets, LLC

Emily Pierce is the Head of US Global Equities Compliance at RBC Capital Markets, LLC where she oversees the regulatory compliance management program for the US Global Equity business. Her team is responsible for providing regulatory guidance to the firm’s equity and equity derivatives sales & trading personnel. Emily has been in RBC Compliance since 2016 in varying roles covering Branch Inspections and Internal Controls Testing, Volcker Rule Advisory, and Global Equities Advisory. Prior to joining RBC, Emily worked at FINRA as a Financial/Operational (FinOp) examiner. She holds a B.S. in Accounting from Wagner College and holds the Series 7, 57, and 63 registrations.