Derek Stern Email & Phone Number
AVP, Head of Global Distribution Compliance @ Manulife John Hancock Investments and Retirement
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Derek Stern Location
- Boston, MA, US
Derek Stern Work
- 2017 - now AVP, Head of Global Distribution Compliance @
- 2006 - 2016 Chief Compliance Officer | Director, PRM Compliance @
- 2002 - 2006 Vice President; Compliance Officer @
- 1999 - 2005 Penn State @ Penn State Liberal Arts Alumni Association
- 2000 - 2002 Assistant Vice President; Advertising Compliance Manager @ Formerly Funds Distributor, Inc
- 1995 - 2000 Assistant Vice President; Compliance Editor @
- 1993 - 1995 Putnam Investor Services @
Derek Stern Education
- Penn State University
Bachelor's degree (Political Science)
1988 - 1993 - The Dwight School
(high school)
1984 - 1988
Derek Stern Skills
- Compliance
- Broker dealer compliace
- FINRA
- Social media compliance
- Broker-Dealer
- Securities Regulation
- Mutual Funds
- General Securities Principal
- Social Media Monitoring
- Investments
- General Securities Registered Representative
- Investment Advisor Compliance
- Series 7
- Series 24
- Series 51
- Series 63
- Series 99
- Financial Services
- Securities
- SEC
- Regulations
- Anti Money Laundering
- CIP
- Retirement Planning
- U.S. Securities And Exchange Commission Sec
- Finance
- Advertising
- Regulatory Audits
- Asset Management
- Policies And Procedures Development
- Regulatory Compliance
- Broker Dealer
- Trading
- Services
- Hedge Funds
- u.s. Securities and Exchange Commission
Derek Stern Summary
- Derek Stern, based in Boston, MA, US, is currently a AVP, Head of Global Distribution Compliance at Manulife John Hancock Investments. Derek Stern brings experience from previous roles at Putnam Investments, State Street Corporation, Penn State Liberal Arts Alumni Association and Formerly Funds Distributor, Inc. Derek Stern holds a 1988 - 1993 Bachelor's degree in Political Science @ Penn State University. With a robust skill set that includes Compliance, Broker dealer compliace, FINRA, Social media compliance, Broker-Dealer and more. Derek Stern has 1 emails and 1 mobile phone numbers on RocketReach.
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