Conway Lee

Senior Vice President and Assistant General Counsel Jefferies LLC

Conway Lee is Senior Vice President and Assistant General Counsel for Jefferies LLC, a global investment banking firm.  Conway provides oversight of significant regulatory matters and internal investigations across all lines of business and corporate center functions for the firm.  His responsibilities include coverage of regulatory matters involving the Securities and Exchange Commission, the Department of Justice, FINRA, and other state and federal agencies.  Prior to his current role, Conway spent over eight years as Vice President and Corporate Counsel for Prudential Financial, where he provided legal coverage for the retail broker-dealer and registered investment advisor with respect to a broad range of issues involving the provision of holistic advice and the offering of wealth management solutions, including investment products and services, insurance and annuities.  Prior to his in-house experience, Conway served as Senior Counsel in FINRA Enforcement for seven years, handling a full, complex docket of investigations, including noteworthy matters relating to market manipulation, short selling abuses, and AML issues.  Before attending law school and entering the legal profession, Conway gained valuable industry experience in the financial services sector where he spent a combined seven years as an associate at Deutsche Bank, a controller at Morgan Stanley, and an analyst at Bankers Trust.  Conway earned his law degree from Seton Hall University, where he was on the Legislative Law Journal, and his undergraduate degree in finance from Rutgers University.