FacultyFaculty/Author Profile
Lee D. Augsburger

Lee D. Augsburger

Prudential Financial
SVP, Chief Ethics & Compliance Officer
Newark, NJ, USA

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; as an associate with Bell, Boyd & Lloyd; and with 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 was adjunct faculty at New York Law School, from 2009-2014 developing and teaching Compliance for Global Financial Services Companies for its financial services LLM program.

He is a member of the bar of Illinois and various industry organizations including the Board of Advisors for the Institute for Ethical Leadership at Rutgers University. Augsburger also serves as Board Chair for the Ethics & Compliance Association and the Ethics & Compliance Initiative, and is former Chair of the Board of National Society of Compliance Professionals. The Ethisphere Institute named Augsburger to its 2014 List of the 100 Most Influential in Business Ethics.


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