Lee Baxter

  • Director of Risk and Compliance

Profile

Lee is an ICA qualified Risk and Compliance (R&C) professional with 20 years in the legal sector and 13 years’ experience in SRA regulated environments. His areas of expertise include anti-money laundering, client due diligence, conflicts & confidentiality, Bribery Act, SRA Code of Conduct, Outcomes Focused Regulation, Professional Indemnity Insurance and referral arrangements. Lee is responsible for R&C strategy and compliance with all statutory and regulatory requirements; for implementing and maintaining policy and procedure and for ensuring the business of the firm is conducted within the firm's risk management and compliance framework.

Lee can offer guidance on any risk and compliance issues and commercial solutions that balance the needs of the firm, the client and the regulator. In particular, Lee can give assistance to those who need to deal with a complaint or claim. He will help to minimise the impact of any breach or non-compliance one observes and will help assess any new commercial or operational risks or opportunities that are identified.

Lee is a member of the International Compliance Association (ICA).

Additional information