FAQ About Dennis Bertron Esq

• What is Dennis Bertron Esq's address?

  Dennis Bertron Esq is located at
  Verona, New Jersey, United States

• What is Dennis Bertron Esq's job title?

  Dennis Bertron Esq is a Highly qualified attorney and compliance expert with 10+ years experience advising investment management firms on rules and regulations of the Federal Securities Laws, the Securities and Exchange Commission and Foreign Regulators. Experienced in the articulation and maintenance of standards of conduct required of registered investment advisers as well as the laws, regulations, and policies governing these businesses in order to assist Firms in avoiding economic, regulatory and legal liability and risk to reputation. Seasoned Compliance Professional Email: Dennis.Bertron@Verizon.net Expertise in: * Developing, drafting and maintaining Compliance policies and procedures outlining firm requirements, regulations and best practices; * The ability to work with senior management, and other key stakeholders to encourage, promote and enhance a culture that encourages ethical conduct and commitment to compliance; * Assisting with the interpretation and implementation of new rules/regulations; * The ability to coordinate with broader firm departments, such as Controllers, Operational Risk Management, Operations, Internal Audit and Legal; * The ability to work with senior management and internal/external counsel - excellent communication (oral and written) and presentation skills; * The ability to conduct and oversee compliance risk assessments and manage the Firm's testing and monitoring program in accordance with regulatory expectations and best practices; * Serving as a subject matter expert on a variety of compliance, regulatory and business/industry topics; * Responding to, overseeing and/or assisting counsel with regulatory audits, exams or inquiries; * Investment Advisor Registration; * Filing Obligations (Form ADV, Form PF, 13F, 13D, 13G, 3, 4, 5 etc.) * Compliance Manual Updates; * Strong working knowledge of the Investment Advisers Act of 1940, the rules and regulations of the SEC and global shareholder reporting obligations; and * Thorough knowledge of securities products (i.e., equity securities, alternative investments, fixed income products, Asset Backed Securities, Derivatives) compliance and supervisory requirements. Accomplishments: * Spearheaded Aflac Global Investments' risk assessment and drafted 35+ internal compliance policies. Created initial Compliance Manual; draft Form ADV. * Served more than seven years as Assistant General Counsel, VP Compliance at a global investment firm. * Served as an attorney with the SEC in the Division of Corporation Finance. Contact me at (201) 704-8592 or dennis.bertron@verizon.net.

• What industry does Dennis Bertron Esq currently work in?

  Dennis Bertron Esq currently works in the New Vernon Capital |

• Which languages does Dennis Bertron Esq speak?

  No Languages Available

• Which industries has Dennis Bertron Esq previously worked in?

  Dennis Bertron Esq has prior
  experience in the following industries:
  Aflac Global Investments | Meridian Legal Search And Meridian Legal Temps | Indata | Invesco | Kingdon Capital | Kingdon Capital Management

• What is Dennis Bertron Esq’s work experience?

  Dennis Bertron Esq has the following professional experience:
  New Vernon Capital | Aflac Global Investments | Meridian Legal Search And Meridian Legal Temps | Indata | Invesco | Kingdon Capital | Kingdon Capital Management

• How can I find Dennis Bertron Esq on LinkedIn?

  You can view Dennis Bertron Esq’s LinkedIn profile at LinkedIn URL

• What are Dennis Bertron Esq’s work email addresses?

  Dennis Bertron Esq’s work email
  addresses are
  dbertron@meridianlegal.com

• What company does Dennis Bertron Esq work for?

  New Vernon Capital |