Peggy Ho

Peggy Ho

General Counsel & Chief Risk Officer at Commonwealth Financial Network

FINRA Investor Education Foundation•Waltham, Massachusetts, United States

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Experience31+ Years
LevelLeadership

Executive 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

Professional employment history
  • Jun 2022–Present· 4 yrs 4 mos
    • Member, Board of DirectorsCurrent
      Jun 2022–Present
  • FINRACurrent
    Sep 2021–Present· 5 yrs 1 mo
    • Industry GovernorCurrent
      Sep 2021–Present
  • Apr 2021–Present· 5 yrs 6 mos
    • General Counsel and Chief Risk OfficerCurrent
      Apr 2021–Present
    • Commissioner
      Apr 2023–Sep 2024
  • Jun 2007–Apr 2021· 13 yrs 10 mos
    • EVP, Government Relations; Chief of Staff - Compliance, Legal & Risk
      Apr 2018–Apr 2021
    • Executive Vice President, Deputy General Counsel, Government Relations, Legal Operations, Contracts
      Jul 2017–Apr 2018
    • Executive Vice President, Chief of Staff - Legal, Head of Government Relations
      Feb 2014–Jul 2017
    • Senior Vice President and Associate General Counsel
      Jun 2007–Feb 2014
  • 2000–2007· 7 yrs
    • Senior Corporate Associate
      2000–2007
  • 1998–1998· 0 mos
    • Summer Associate
      1998–1998
  • 1995–1996· 1 yr
    • Teacher
      1995–1996

Education

M.S.F.S.

International Business Diplomacy, Honors

Georgetown University

J.D.

Georgetown University Law Center

A.B.

East Asian Studies, magna cum laude

Harvard University

Executive Relationship Map

Reports To
Peggy Ho
Vice Chair & President
Chief Financial Officer
Chief Technology Officer
Chief Operating Officer

Executive Network Preview

BizKonnect has mapped this leadership network including reporting hierarchies, peer connections, and cross-functional relationships.

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Skills & Expertise

9 of 9 skills
StrategyMergers & Acquisitions (M&A)Government RelationsCorporate GovernanceBusiness ContinuityCorporate LawSecurities RegulationFinanceDiversity & Inclusion