Laurence Bertan Email & Phone Number
Managing Director @ Bernstein
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Laurence Bertan Location
- New York, NY, US
Laurence Bertan Work
- 2024 - now Managing Director @
- 2014 - now Social Media Committee member @
- 2019 - 2024 SVP and Global Head of Broker Dealer Compliance @
- 2004 - 2019 SVP, Head of Buyside Investment Mgt and Distribution Compliance and Global AML Compliance Officer @
- 2000 - 2006 VP, Director of Sell Side Compliance @
- 1998 - 2000 VP, Director of Internal Audit @
- 1993 - 1998 Director of Internal Audit @ Oppenheimer & Co.
- 1983 - 1992 Manager @
Laurence Bertan Education
- Lehigh University College of Business
Laurence Bertan Skills
- Securities
- Hedge Funds
- Mutual Funds
- AML
- Series 7
- Investment Management
- Broker-Dealer
- Dodd-Frank
- Commodity Pools
- Investment Advisory
- FINRA
- Investments
- Wealth Management
- Trading
- Auditing
- Investment Banking
- Series 14 and 24
- Asset Management
- Alternative Investments
- Series 63
- Program Trading
- Fixed Income
- Bonds
- Securities Regulation
- Compliance Monitoring
- Investment Company Act
- Portfolio Management
- Capital Markets
- Derivatives
- Institutional Research
- Bloomberg
- Asset Allocation
- Fund Of Funds
- Financial Services
- Equities
- Investment Strategies
- Operational Risk
- Regulatory Compliance
- Series 24
- Private Equity
- Broker Dealer
- Trading Systems
- CFTC
- Compliance Management
- Dodd Frank
- Options
- Private Funds
- Equity Trading
- Internal Audit
- Regulatory Filings
- FinTech
- Canada
Laurence Bertan Summary
- Laurence Bertan, based in New York, NY, US, is currently a Managing Director at Bernstein. Laurence Bertan brings experience from previous roles at SIFMA, AllianceBernstein and Sanford C. Bernstein. Laurence Bertan holds a Lehigh University College of Business. With a robust skill set that includes Securities, Hedge Funds, Mutual Funds, AML, Series 7 and more. Laurence Bertan has 3 emails and 1 mobile phone numbers on RocketReach.
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