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Mitsui LunchTime Forum: Can Companies Get It Right?
Start Date: 3/21/2017Start Time: 12:30 PM
End Date: 3/21/2017End Time: 2:00 PM
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Event Description:
Mitsui USA Lunch-Time Forum No. CXXVIII

Can Companies Get It Right?

Speaker: Lee Augsburger, Senior VP, Chief Ethics & Compliance Officer, Law, Compliance, and Business Ethics Unit, Prudential Financial, Inc.
Date: Tuesday, March 21st
Time: 12:30-1:45 PM
Location: Newman Library, 7th Floor, Room H-750

Lee Augsburger is senior vice president and chief ethics & compliance officer in the Law, Compliance and Business Ethics unit of
Prudential Financial, Inc., responsible for overseeing the company’s global compliance organization of more than 500 staff worldwide and the company’s global business ethics efforts.

Augsburger joined Prudential in 1997 in the Law Department and has served in a variety of leadership positions, including chief legal officer for the Annuities business; and vice president, Compliance, in the Investment division, where he was responsible for managing compliance programs for the retirement services, institutional brokerage, and asset management businesses and mutual funds. He transferred to the Compliance Department in 2000 and was appointed global chief compliance officer in 2007 and global chief ethics officer in 2009.

Previously, Augsburger was employed with PriceWaterhouse, as a director in Regulatory Consulting Practice; Van Kampen Merrit; Bell, Boyd & Lloyd with the law firm; and Smith Barney where he was deputy general counsel for its mutual fund organization. Augsburger has an undergraduate degree in communications from Wheaton College and a JD from IIT/Chicago Kent College of Law. He is adjunct faculty at New York Law School, developing and teaching Compliance for Global Financial Services Companies for its financial services LLM program.

*No Reservation Required.*
*Open To The Public*
*Sandwiches & Drinks served.*
Contact Information:
Name: Ruthy Gascot
Phone: 646-312-2082
Mitsui Lunch Time
  • Weissman Center for International Business

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