Lisa Francomano
About Lisa Francomano
Lisa Francomano serves as the Managing Director and Head of GWM C&ORC Client Solutions at UBS, where she has worked since 2019. She has extensive experience in investment advisory and regulatory compliance, having previously held a Vice President position at Lehman Brothers and leading a global compliance team at UBS.
Current Role at UBS
Lisa Francomano serves as the Managing Director and Head of GWM C&ORC Client Solutions at UBS. She has held this position since 2019, contributing to the firm from its Weehawken, New Jersey office. In addition to her role as Managing Director, she also functions as the Chief Compliance Officer for UBS Financial Services and Investment Advisors. Her responsibilities include leading a global compliance team that manages significant regulatory change projects, ensuring that UBS adheres to industry regulations.
Professional Background
Prior to her tenure at UBS, Lisa Francomano worked at Lehman Brothers Holdings Inc. as a Vice President in the Legal Department from 1996 to 2001. This role provided her with substantial experience in legal and compliance matters within the financial services sector. Since joining UBS in 2001, she has progressed through various roles, accumulating over two decades of experience in compliance and regulatory affairs.
Education and Expertise
Lisa Francomano earned her Bachelor of Arts degree in Political Science and International Relations from Fairfield University, where she studied from 1987 to 1991. She later obtained her Juris Doctor from New York Law School, completing her studies from 1995 to 1998. Her educational background supports her profound knowledge of investment advisory and broker-dealer regulatory guidelines, which she applies in her current role.
Achievements in Compliance and Risk Management
Throughout her career, Lisa Francomano has been recognized for her ability to proactively identify gaps and risk exposure within business products, services, and operations. She has developed and implemented strong risk control frameworks that provide commercial solutions, enhancing the operational integrity of the organizations she has worked with. Her leadership in compliance has positioned her as a key figure in managing regulatory challenges in the financial services industry.