Daniel Bernard Email & Phone Number | I am an accomplished, results-oriented compliance and risk professional with extensive experience in creating, improving and managing investment adviser and broker-dealer compliance and risk programs at asset management firms with trillions of dollars in assets under management. My background includes a proven track record of consistently establishing and improving processes and offers a firm grasp of all aspects of the asset management industry. Adept at utilizing broad based skills to enable easy collaboration among varying groups, I have enhanced more operationally efficient, compliant, and coordinated programs. I possess extensive experience and expertise in the Investment Advisers Act of 1940 and the Investment Company Act of 1940. I have served as a Compliance Manager, Senior Compliance Advisor, Assistant Vice President and Director specializing in running effective compliance and risk oversight programs.

Daniel Bernard

I am an accomplished, results-oriented compliance and risk professional with extensive experience in...
Boston, Massachusetts, United States

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Daniel Bernard’s Location Boston, Massachusetts, United States

Daniel Bernard’s Current Industry Fidelity Investments

Daniel Bernard’s Prior Industry State Street Global Advisors | Columbia Threadneedle Investments

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Director, Regulatory Support - Personal Investing

2022-04-01 00:00:00 - Present

Assistant Vice President, Distribution Compliance

2017-11-01 00:00:00 - 2019-09-01 00:00:00

Asset Management Compliance Manager

2009-11-01 00:00:00 - 2012-12-01 00:00:00

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Daniel Bernard is a I am an accomplished, results-oriented compliance and risk professional with extensive experience in creating, improving and managing investment adviser and broker-dealer compliance and risk programs at asset management firms with trillions of dollars in assets under management. My background includes a proven track record of consistently establishing and improving processes and offers a firm grasp of all aspects of the asset management industry. Adept at utilizing broad based skills to enable easy collaboration among varying groups, I have enhanced more operationally efficient, compliant, and coordinated programs. I possess extensive experience and expertise in the Investment Advisers Act of 1940 and the Investment Company Act of 1940. I have served as a Compliance Manager, Senior Compliance Advisor, Assistant Vice President and Director specializing in running effective compliance and risk oversight programs.