Le Xing Lee has over 15 years’ experience in broker-dealer compliance in the financial services industry. Prior to joining the LeGaye Law Group, she headed operations and Human Resources for a FINRA broker-dealer and its affiliated M&A investment bank, where she worked closely with the Chief Compliance Officer on a wide range of regulatory and compliance matters.
Le Xing’s compliance responsibilities included managing FINRA regulatory examinations, overseeing and administering the firm’s anti-money laundering (AML) program, coordinating registration and licensing with FINRA, and various state jurisdictions, including both Office of Supervisory Jurisdiction (OSJP and branch office filings and registrations, and maintaining its compliance and due diligence records in accordance with applicable books and records requirements, particularly in connection with banking transactions.
In addition to her compliance background, Le Xing has more than 18 years’ experience leading human resources functions within the financial services and consulting sectors, providing both strategic direction and hands-on administrative support. Ms. Lee is not a licensed attorney.