Kathleen Lee

Kathleen served as in-house counsel to a global managed services provider, investment advisers, broker-dealers, banks and insurance companies. She advised them on risk management, corporate governance and legal and regulatory matters under federal and state securities, investment advisory and banking laws and regulations, state insurance laws and regulations, Employee Retirement Income Security Act (ERISA) fiduciary laws, Department of Labor (DOL) regulations for retirement plans, state corporate laws and Financial Industry Regulatory Authority (FINRA) rules for services provided to individuals, state and local governments and retirement plans, and the preparation and filing of related regulatory applications and reports.

While serving as in-house counsel, Kathleen served on interdisciplinary teams executing complex transactions, including acquisitions, divestitures and various outsourcing arrangements. Kathleen also served as an adviser to insurance company committees for separate accounts and retirement plans. Kathleen has represented financial institution clients working with trade association groups in Washington DC and prepared regulatory comment response letters.

Prior to her in-house experience, Kathleen was a corporate and financial institutions associate for seven years at regional and specialty law firms in their greater Washington DC and South Florida offices.

Kathleen held her FINRA Series 7 and 24 licenses from 2007-2018. She is certified by The American College of Financial Services as a Chartered Financial Consultant and Retirement Income Professional.