PollyCordle Polly Cordle Associate Director 804.521.6023 vCard

With a wide variety of experience including Compliance Supervisor, Brokerage Operations, Training and Branch Operations, Polly is a versatile asset to Oyster’s clients. Polly develops and provides custom compliance training, regulatory and communication, and rule implementation services. She also provides expertise and support for various projects due to an intimate knowledge of the many facets of the brokerage industry.

Expertise

  • Outsourced CCO for a regional dually-registered broker-dealer and investment advisor
  • Supervised Outsourced Compliance department
  • Provides CCO support for a boutique Investment Bank
  • Provides guidance and assistance to clients preparing to comply with the Department of Labor Fiduciary Rule.  This includes:  general guidance on the rule and its requirements, recommendations regarding required/recommended communications and training modules, development of such modules and communications and additional support on implementation of the rule.
  • Provides quality, customized training programs for Oyster’s clients including Anti-Money Laundering Units, Firm Element Training, Annual Compliance Meetings
  • Works with firms to complete their Needs Analysis and develop their Annual Training Plan
  • Serving as Senior Supervision Manager for a national firm’s Latin America Supervision Unit exposed her to international markets, their environments and their rules as well as experience reading and translating Spanish and Portuguese
  • Developed and maintained training program for the Centralized Supervision Unit, providing trade, email, and account oversight to the entire firm
  • In her capacity overseeing Regional Supervision she worked closely with branches to prepare for and work through their annual compliance audits
  • Participated in a complete re-design and implementation and as acted as client advocate to Information Technology for national brokerage firm’s client statement re-design
  • Performed monthly audits of client statements to ensure accuracy and completeness prior to client distribution
  • Worked as Credit Cash and Margin clerk for national brokerage firm

Career Highlights

  • Senior Supervision Manager over Supervision Training, Regional Supervision and the Latin America Centralized Supervision Unit, Wachovia Securities
  • Compliance Training Analyst, Wachovia Securities
  • Client Reporting Analyst, Wachovia Securities
  • Operations Manager, Downers Grove Office, Wachovia Securities
  • Credit Cash & Margin Clerk, Wachovia Securities/First Clearing

Education, Accolades and Industry Commitments

  • B.S., Longwood University
  • FINRA Series 7, 24, 63 and 65 registrations (Registrations are typically inactive, but may be used when appropriate to perform interim functions for our clients)

Articles, Blogs and Presentations

Webinar: The Countdown Is On – What’s Your DOL Game Plan?  May, 2017

Webinar: Are Your Ready for April?  Training and Education Around the DOL Fiduciary Rule  January, 2017

Webinar:  Now What –  Next Steps in Preparing for the DOL Fiduciary Rule Changes  October, 2016

Proposed New AML Regulations for Investment Advisors  – Blog Post, August 28, 2015