Kathleen Lee

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.