Kathleen Lee’s practice focuses on providing legal advice to corporate and financial institution clients. Kathleen was previously in-house banking, financial services and insurance (BFSI) senior regulatory counsel to a multinational public professional services company. Her responsibilities included identifying BFSI regulatory risk and a quarterly presentation to the business units’ leadership on such risks and related controls. She also represented the BFSI business units in commercial contracting with BFSI clients, which were predominantly large insurance companies.

    Prior to that, Kathleen served as in-house counsel for 15 years to investment advisers, broker-dealers and insurance companies. She counseled them on corporate, regulatory and strategic matters, including analysis and compliance with securities, investment advisory, insurance, ERISA and corporate laws for services to individuals, state and local governments, and retirement plan clients. Several of these investment advisers and broker-dealers were leaders in ESG (SRI) best practices.

    While serving as in-house counsel at the insurance company, Kathleen served on interdisciplinary teams executing a number of complex transactions, including reinsurance, acquisitions and divestitures. Kathleen also served as an advisor to insurance company committees for separate accounts and retirement benefit plans. Kathleen was invited to participate in the senior leadership training and presented business strategies to the executive leadership.

    Prior to her in-house experience, Kathleen was a corporate and financial institutions associate for seven years at regional and specialty law firms handling public company offerings and reporting, mergers and acquisitions, and related regulatory analysis for primarily community banks and their holding companies.

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    Education

    • University of Miami School of Law, J.D., 1998
    • University of Michigan, B.A., History and Comparative Literature, 1994

    Admissions

    • Washington DC, 2004
    • Virginia, 2001
    • Florida, 1998

    Memberships and Affiliations

    • FINRA Series 7 and 24, 2007 – 2018
    • The American College of Financial Services, Chartered Financial Consultant Certification, May 2015
    • The American College of Financial Services, Retirement Income Professional Certification, September 2018
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