Glenn Pollack

WORK HISTORY

EDUCATION

ABOUT GLENN POLLACK

Experienced Financial Services Professional, with Supervision, Governance-Risk-Compliance, KYC, Continuing Education, Registration, AML, and Operation experiences and proficiencies. Experienced Management roles, in which led successful, productive, and team oriented groups. In United States - Licenses include: Series 4, 7, 14, 24, 52, 53, 63, 79, 9, and 10. Strong working knowledge of thebrokerage\\investment advisory business, the regulatory environment and the services related to the industry. Excellent, diplomatic, and empathetic communication skills with team members, peers, SMEs, executive management teams, Advisors, and Advisors’ branch teams. Listening and problem solving skills, are a valuable skill, utilized in each position. Compliance, Supervision, HOS(Home Office Supervision), Continuing Education (CE) & Registration, Operations, New Accounts, & Cashiering Manager, and worked as, New Zealand Branch Manager. Summary of Responsibilities and positions held include OSJ Supervisor & Prime Relationship Manager for 100 United Capital(Goldman Sachs) advisors. AVP/Registration Services and Continuing Education(AML, Firm, and Regulatory Element), responsible for Reps/Advisors, and home office employees (NRFs), while ensuring full compliance. Director, Manager-VP, Review Principal, and Supervisor in various areas of the Financial and Brokerage Industry. Branch Manager, Operations Centers, Call/Service Centers. Project coordinator and participated in Kaizen event to implement change. Leading projects, creating metrics and reports, creating extensive manuals for groups, branches, and firm on AML (Anti-Money Laundering), and Fraud issues. Create Ad-Hoc Reports for FINRA, Firm’s Executive Mgmt team, Advisors, and internal departments staff. Extensive Complex Product experience with Mutual Funds, Variable Annuities, Index Annuities, 529 Plans, and Alternative Investments. Direct Business, Pershing NetX360, NFS, Smarsh, Docupace, Salesforce, Siebel, Albridge, Oracle, experienced.