Peggy Ho
General Counsel & Chief Risk Officer at Commonwealth Financial Network
FINRA Investor Education Foundation•Waltham, Massachusetts, United States
View LinkedIn ProfileExecutive Overview
Seasoned executive and recognized thought leader with proven track record of achieving results, building successful teams, mitigating risk, and managing change. Trusted leader and counselor to C-suite executives across a broad range of business functions. Areas of expertise include: • Corporate law, including securities law, board governance, mergers & acquisitions, debt finance, intellectual property and commercial contract negotiation and management • Management of high-stakes litigation • Operations management, including human capital, budgeting/finance, matter intake and metrics accountability, project management, law firm and vendor management, technology and e-discovery • Government relations, including federal, state and regulatory advocacy • Enterprise risk management, third party risk management, business continuity & recovery, and privacy • Building, developing, and mentoring diverse teams Commonwealth Financial Network®, Member FINRA (http://www.finra.org/)/SIPC (http://www.sipc.org/). Please review our Terms of Use. (http://www.commonwealth.com/termsofuse.html) Opinions expressed on this page are personal and do not represent Commonwealth Financial Network®
Career Timeline
- Jun 2022–Present· 4 yrs 4 mos
- Member, Board of DirectorsCurrentJun 2022–Present
- FINRACurrentSep 2021–Present· 5 yrs 1 mo
- Industry GovernorCurrentSep 2021–Present
- Apr 2021–Present· 5 yrs 6 mos
- General Counsel and Chief Risk OfficerCurrentApr 2021–Present
- Apr 2023–Sep 2024· 1 yr 5 mos
- CommissionerApr 2023–Sep 2024
- Jun 2007–Apr 2021· 13 yrs 10 mos
- EVP, Government Relations; Chief of Staff - Compliance, Legal & RiskApr 2018–Apr 2021
- Executive Vice President, Deputy General Counsel, Government Relations, Legal Operations, ContractsJul 2017–Apr 2018
- Executive Vice President, Chief of Staff - Legal, Head of Government RelationsFeb 2014–Jul 2017
- Senior Vice President and Associate General CounselJun 2007–Feb 2014
- 2000–2007· 7 yrs
- Senior Corporate Associate2000–2007
- 1998–1998· 0 mos
- Summer Associate1998–1998
- 1995–1996· 1 yr
- Teacher1995–1996
Education
M.S.F.S.
International Business Diplomacy, Honors
Georgetown UniversityJ.D.
Georgetown University Law CenterA.B.
East Asian Studies, magna cum laude
Harvard University