John R. Caporale, Esq.
About John R. Caporale, Esq.
John R. Caporale, Esq. serves as the AML Onboarding Manager and Associate Director for WMA Financial Crime Prevention at UBS, where he has extensive experience in AML advisory services and compliance within U.S. banking entities.
Current Role at UBS
John R. Caporale currently serves as the AML Onboarding Manager and Associate Director for WMA Financial Crime Prevention at UBS. He has held this position since 2021, working in Weehawken, New Jersey. In this role, he has oversight and management responsibilities for the New York, Domestic, and Miami/Coral Gables complexes. His work focuses on ensuring compliance with anti-money laundering regulations and enhancing the firm's financial crime prevention strategies.
Previous Experience at UBS
Prior to his current role, John R. Caporale held several positions at UBS. He served as an Authorized Officer and FCP COU Team Lead for Domestic and MAG Complexes from 2019 to 2020. He then transitioned to the role of COU Team Lead for UHNW & PWM, where he worked as an Associate Director in WMA Financial Crime Prevention from 2020 to 2021. Additionally, he was an Authorized Officer and Private Bank FinCrime KYC Review Analyst from 2017 to 2019.
Experience in Regulatory Advisory Services
John R. Caporale has provided AML advisory services for notable regulatory bodies, including the Consumer Financial Protection Bureau (CFPB) and the Office of the Comptroller of the Currency (OCC). His experience includes handling regulatory inquiries and internal escalations related to compliance in U.S. banking entities, demonstrating his expertise in financial crime prevention and regulatory compliance.
Education and Legal Background
John R. Caporale earned a Bachelor of Arts (B.A.) in Business Administration and Management from Moravian College, where he studied from 2004 to 2008. He later attended Touro College Jacob D. Fuchsberg Law Center, obtaining his Doctor of Law (J.D.) degree from 2008 to 2011. His educational background combines business and legal knowledge, enhancing his capabilities in financial crime prevention and compliance.
Legal Career Prior to UBS
Before joining UBS, John R. Caporale worked as an Associate Attorney at Frenkel Lambert Weiss Weisman & Gordon from 2012 to 2017. His practice focused on BSA/AML, mortgage and consumer banking, and litigation. This experience provided him with a solid foundation in legal matters related to financial compliance and regulatory frameworks.