Jay Pollock Email & Phone Number

Portland, Oregon, United States

Portland, Oregon Area

Acting as the OSJ supervisor for approximately 25 Member Firm offices. Tasked with minimizing risk and leveraging automation and innovation, resulting in enhanced service to Member Firms and efficiencies for M Securities. Assist with the development and implementation of supervision programs, compliance policies and procedures for the broker/dealer and RIA. Participate in the development of automated processes to enhance broker/dealer efficiencies. Ongoing development of positive, solutions-oriented relationships with Member Firms. Serve as a key point of contact with Member Firms, including the on-boarding of new Member Firms and providing ongoing communications and training.

Hillsboro, Oregon

Manage day-to-day branch operations, grow branch assets, drive sales initiatives, provide technical leadership, and champion Scottrade’s culture of service, respect, and integrity. Additionally responsible for asset gathering, client relationship building, and staff development / coaching. Oversee customer care delivery, supervise team members, conduct regular branch audits, and ensure compliance with Scottrade policies / procedures, FINRA, and SEC regulations. Process and audit daily reports to ensure consistent operational efficiency and regulatory compliance.Consistently achieve high branch audit scores by monitoring updated compliance requirements for branch operations and administering updated policies in a timely fashion.Provide training for new branch managers. Hire, train, and mentor new investment consultants and interns.Selected to open and manage new branch office in Hillsboro.Foster positive team environment through effective leadership and ongoing coaching and mentoring. Use consultative sales approach to solidify client relationships and drive value.Partner with other lines of business to optimize client experience.