Lisa M. Francomano
Managing Director, Head GWM C&ORC Products & Solutions, UBS
Lisa is the Global Head of Wealth Management Products & Solutions Compliance and the Chief Compliance Officer for UBS Financial Services, RIA. Lisa leads a global team responsible for providing business aligned compliance support and leads significant regulatory change projects. Lisa is accountable for identifying gaps and risk exposure within the products and solutions lifecycle for Investment Management, Capital Markets and Lending Solutions business and responsible for providing commercial solutions consistent with the firm’s risk control framework.
Lisa has been with UBS since 2001 in various roles including covering the products and services compliance function and executing the firm’s advisory compliance program. Prior to her current role she was an investment advisory attorney in the legal department. Before joining UBS, Lisa was a Vice President at Lehman Brothers providing investment advisory legal support to the firm’s advisory programs. Lisa began her career at Prudential Securities Inc. as an analyst in the legal department.
Lisa holds a Bachelor of Arts degree from Fairfield University and a Juris Doctor from New York Law School.