Polly Cordle Associate Director 804.521.6023 vCard

With a wide variety of experience including CCO, 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, 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.  In addition to providing CCO outsourcing and support services, Polly provides implementation, training and support for Oyster Solutions, software designed to automate, organize and integrate firm compliance and operations programs.

Expertise

  • Outsourced CCO for federal- and state-registered investment advisors
  • Provides quality, customized training programs for Oyster’s clients including Anti-Money Laundering Units, Firm Element Training, Annual Compliance Meetings
  • Provides CCO support for a boutique Investment Bank
  • As Outsourced CCO for a regional, dually-registered broker-dealer and investment advisor, created, monitored and modified compliance procedures and cooperated with regulators during audits and examinations
  • Supervised Outsourced Compliance department
  • Provided guidance and assistance to clients preparing to comply with the DOL Fiduciary Rule
  • Serving as Senior Supervision Manager for a national firm’s Latin America Supervision Unit provided exposure to international market environments and rules, as well as experience reading and translating both Spanish and Portuguese
  • Developed and maintained training program for the Centralized Supervision Unit, providing trade, email, and account oversight to the entire firm
  • Oversaw Regional Supervision, working closely with branches to prepare for and work through their annual compliance audits
  • Participated in a complete redesign and implementation, and as acted as client advocate to Information Technology for national brokerage firm’s client statement redesign
  • Performed monthly audits of client statements to ensure accuracy and completeness prior to 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 New Form ADV Rules – What You Need to Know   October, 2017

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

Establishing Your Compliance ProgramPractical Compliance and Risk Management for the Securities Industry, July 1, 2016.

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