Alison Morpurgo manages the International & Ultra High Net Worth Legal at UBS Wealth Management Americas and coordinates legal coverage of cross-border issues across divisions in the Americas. In this capacity she manages a group of lawyers who advise on legal and compliance issues related to the cross-border provision of financial services by UBS entities based in the Americas with a focus on the private bank and broker/dealers, including licensing, registration, tax, training, monitoring and travel. Alison’s team also serves as the designated advisors to the Firm’s domestic Ultra High Net Worth Division, including Private Wealth Management and Global Family Office, as well as Equity Plan Advisory Services business lines. As counsel to management of the International business, the team interfaces with regulators and examiners across industries and jurisdictions and created and drafts policies governing business conduct. Prior to this role, Alison was legal counsel to UBS International, Inc. and previously managed the anti-money laundering department and served as the AML/BSA Officer for the Firm. Alison also participates in UBS’s Pro-Bono initiative. She entered the financial services industry at Painewebber in 2000 and was in private practice prior to that.
Alison is co-chair of the SIFMA Cross-Border Wealth Management Working Group and was previously a member of the SIFMA Financial Crimes Steering Committee. Alison speaks regularly at industry conferences including the FINRA Institute at Wharton and others and has worked with the SEC to train foreign regulators.
Alison earned a Bachelor of Arts from Connecticut College in 1993 and a J.D. from American University’s Washington College of Law in 1999 where she was President of the Moot Court Board.
Member of the New York Bar, Series 7 registered