John Wong joined Integrated Wealth Management in April 2011. He received a Bachelor of Arts degree in Economics from University of California, Berkeley and holds the Certified Internal Auditor designation. Prior to joining Integrated Wealth Management, he had spent 19 years at Capital Group, where he was involved with regulatory compliance issues, investment monitoring and compliance, SAS70 auditing, coordination of the annual risk-based compliance program to comply with SEC rules, exception reporting, quality control issues, and business continuity. He is a member of the National Society of Compliance Professionals, The Institute of Internal Auditors and the California ’40 Acts Group, and has volunteered for AIDS Research Alliance, Human Rights Campaign, KCRW, KQED, the San Francisco AIDS Foundation, and the Reading by 9 child literacy initiative.

As Chief Compliance Officer and Operations Coordinator, John develops and executes the annual internal compliance testing programs to comply with SEC and FINRA rules; monitors and provides guidance to Integrated Wealth Management on compliance matters; votes proxies for shareholder meetings; maintains the firm’s business continuity plan; regularly reviews the firm’s risk assessment policy, code of conduct and regulatory compliance manual; and stays abreast of regulatory and industry changes, assessing their impact on the firm’s compliance obligations.