Lisa M. Francomano

Managing Director, Head GWM C&ORC Products & Solutions UBS

Lisa is the Head of Global Wealth Management C&ORC Client Solutions and the Chief Compliance Officer for UBS Financial Services, RIA.  Lisa leads a global team responsible for products and services compliance and significant regulatory change projects.  Lisa is accountable for identifying gaps and risk exposure within business products/services/operations and providing commercial solutions within a strong 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.