Emily Brobeck

Senior Regulatory Compliance Professional

Emily joined CRC in 2021. She is a Senior Regulatory Compliance Professional with over fourteen years of compliance experience and extensive knowledge of the rules of the Investment Advisers Act of 1940. Most recently, Emily served as Senior Manager – Compliance at Sound Point Capital Management, where she was involved in all aspects of the compliance monitoring program including leading and serving on many committees, conducting training to all employees, reviewing daily trade allocations, completing various regulatory filings, reviewing marketing materials, conducting electronic communication surveillance, assisting with the annual 206(4)-7 review, drafting responses to due diligence questionnaires, and overseeing Code of Ethics’ monitoring. Prior to Sound Point, Emily worked at EnTrust Global, an affiliate of Legg Mason, as Vice President of Compliance. Prior to EnTrust, Emily was a compliance associate at GoldenTree Asset Management.

Emily earned her Bachelor of Arts degree, magna cum laude, in French and art from the University of Mount Union.

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