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John Wong, CIA®, CRMA®
Chief Compliance Officer
John Wong, CIA®, CRMA®
John Wong, CIA®, CRMA®
John Wong, CIA®, CRMA®
John Wong, CIA®, CRMA®
John Wong, CIA®, CRMA®
John Wong, CIA®, CRMA®
Office
Palm Desert
Toll Free
866.888.6563 x108
Direct
760.969.7108
Fax
310.496.1619

What are 3 words people use to describe you?
Focused.  Accepting.  Zen.

What are you most grateful for?
That my parents immigrated to the US in the 1930s and 40s which allowed me and my siblings to have opportunities they never had.  I’m also grateful for artists, educators, volunteers, and creators.  On a lighter note, I’m grateful for Mars, Inc. for coming up with M&M’s and for professional basketball players who make layups look so effortless!

What gets you excited about life?
The speed of technological changes and their potential to improve our lives.

What is the best advice you have ever been given?
When you give to others, give generously and give the best you can afford.  If you’re going to skimp and save, do it on yourself.

How do you define success?
Personal growth and achievement despite challenges faced.

What is your proudest achievement?
Graduating from UC Berkeley.  It was energizing and motivating to be surrounded by so many bright, creative, dedicated people.  I left Cal thirty years ago but it was a powerful impact on my life and I’m still connected with it.  I’m also really proud I’ve completed four marathons.

What life lesson did you learn the hard way?
I learned that chickens need to be fenced in!!  When I was a kid, we had two pet chickens that we let roam in our yard.  We had raised them since they were chicks and gave them names.  One day we left the house for an errand without putting them back in their cages and when we got home the chickens were gone and all we saw were piles of feathers in our yard.  For a ten year old, it was heartbreaking.

What was the best book you’ve read and why?
“Rosa Lee” by Leon Dash.  It’s the biography of a woman who lived with AIDS in poverty in the housing projects in Washington DC.  Reading it just underscored how fortunate I am.

What does Your Life Integrated mean to you?
It means that I’m connected with the community, that I have a plan for retirement that balances saving for the future and living in the present, and that I’ve thought about the important things that go on in my life and I’m comfortable with the choices I’ve made.

John Wong joined Integrated Wealth Management in April 2011.  As Chief Compliance Officer, John is responsible for developing and enforcing methods to prevent and detect violations of the Investment Advisers Act and federal securities laws.  He conducts the annual internal compliance testing program as required by the SEC, provides guidance to the firm on compliance matters, maintains the firm’s business continuity plan, conducts periodic risk assessments, maintains and enforces the firm’s Code of Ethics and Regulatory Compliance Manual, stays abreast of regulatory and industry changes, and assesses their impact on the firm’s compliance obligations. John is also in charge of internal auditing to provide objective assurance activities designed to add value and improve the firm’s operations.

Prior to joining Integrated Wealth Management, he spent 19 years at Capital Group as a Portfolio Control Manager, where he was involved with regulatory compliance issues, investment monitoring and compliance, internal auditing, coordination of the annual risk-based compliance program to comply with SEC rules, exception reporting, quality control issues, and business continuity. John received a Bachelor of Arts degree in Economics from the University of California, Berkeley and holds the Certified Internal Auditor, Investment Adviser Certified Compliance Professional and Certification in Risk Management Assurance designations. He is a member of the National Society of Compliance Professionals, the Institute of Internal Auditors, the California ’40 Acts Group, and the Society of Corporate Compliance and Ethics. John currently serves on the Exam Development Committee for the Institute of Internal Auditors.  John is married and enjoys cooking, traveling abroad, science, lifelong learning, and listening to disco music while on the treadmill.