Compliance and Risk Management

The Compliance and Risk Management team at Commonwealth Financial Network ensures that all business operations adhere to regulatory requirements and industry standards while effectively managing potential risks. They oversee compliance programs, implement risk mitigation strategies, conduct audits, and provide guidance on governance and information security to protect the company's integrity and the assets of its clients. The team includes roles such as the Chief Compliance Officer, SVP General Counsel & Chief Risk Officer, and Directors in Compliance and Information Security.