Polly Cordle Polly Cordle Managing Director, Oyster Solutions 804.521.6023 vCard

Polly uses her experience as a Chief Compliance Officer, Supervisory Principal, and in her roles in Brokerage Operations and Training to provide efficient leadership in the implementation, training and support areas for Oyster Solutions. Oyster’s state-of-the-art Governance, Risk and Compliance software organizes, automates and integrates 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