Sales Manager

SCOTT E. POLTER

**** ***** ***** ● Jamison, PA **929

H) 215-***-**** ● C) 267-***-**** ● *******@*******.***

PROFESSIONAL SUMMARY

Financial Services professional with extensive experience in strategic leadership and broker/dealer operations. Track record

of delivering successful solutions that strengthen operations infrastructure. Results oriented, respected team builder who

drives quality and productivity initiatives and leads teams in business growth through operational excellence. Especially

skilled at business analysis, project management, and identifying and developing human resources to build highly effective

teams.

• Strategic Planning • Project Management

• Process Improvement & Change Management • Relationship & Vendor Management

• Team Building & Talent Development • Regulatory Compliance

EXPERIENCE

HORNOR, TOWNSEND & KENT, INC. 2007 9/2012

Horsham, Pennsylvania

Responsible for all aspects of Penn Mutual Life Insurance Company’s affiliated broker/dealer and Registered Investment

Advisor operations, including developing and managing strategic solutions for operations while providing leadership in

support of the overall enterprise vision. Interacted and communicated with senior executive level leadership of Hornor,

Townsend & Kent and their parent company. Managed the ongoing relationship with Hornor, Townsend & Kent’s clearing

firm, Pershing LLC, and other third party vendor relationships. As Registered Principal, oversaw the firm’s FINRA regulatory

compliance and Registered Investment Advisor rules and regulations as they related to day to day operations.

Director of Operations

• Developed and led highly effective operational and sales support teams increasing productivity and customer

satisfaction.

• Strategically assessed and improved day to day operations ensuring superior support and service was provided to Sales

Representatives and Field Management.

• Increased Sales Representative satisfaction and retention by reorganizing customer service and trade support teams, and

evaluating and improving team resources.

• Worked with third party vendors to develop and implement technology solutions which enhanced the experience of

Sales Representatives with home office operations.

• Performed needs assessment and analysis to project potential impact of proposed process improvements throughout

the organization.

• Collaborated with business analysts and key stakeholders to clearly define project objectives, milestones and

measurements, resulting in successful and timely implementation of business tools and workflow efficiencies.

• Deployed and trained Sales Representatives on business tools improving efficiency and success in transitioning and

growing their practices.

• Developed marketing and communication plans, and web site content and design resulting in improved adoption of new

investment products and technology offerings.

• Successfully developed and led the Operational Excellence Committee to provide a forum for Sales Representatives, Field

Managers and home office to collaborate on developing process efficiencies and resolving operational issues.

• Developed and implemented processes for operational controls testing for quality assurance and adherence to

regulatory rules.

• Supported Field Managers in recruitment efforts and transitioning new Sales Professionals to HTK.

• Provided oversight to business continuity plan coordination and testing.

• Served as interim Anti Money Laundering Officer from February 2011 through July 2012.

SCOTT E. POLTER

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LINCOLN INVESTMENT PLANNING, INC. 1992 2007

Wyncote, Pennsylvania

Oversaw and provided leadership to a team of Service Representatives and Trade Support Associates responsible for servicing

over 400 financial representatives regarding customer accounts, investment products, asset allocation models, and

retirement plan guidelines. Primary liaison for all operational activity and investment products available through Lincoln

Investment Planning’s clearing firm, Pershing LLC. Oversaw all brokerage operational activity including trading, new

accounts, transfers, cashiering and systems entitlement.

Manager of Branch Services and Trading Operations (2005 – 2007)

• Proactively cultivated service relationships with Sales Representatives and Field Managers in support of their business

practices.

• Established and maintained written standard operating procedures including supervisory control policies.

• Provided operational support to Compliance Department by effectively managing regulatory inquiries and actions.

• Collaborated with Research, Development and Implementation Team to identify and resolve procedural issues, and

ensure seamless implementations of new products, services and technology solutions.

• Produced and presented monthly operations conference calls informing and training field personnel regarding regulatory

and policy changes, system upgrades, and new products and services.

Trading Department Manager (1995 – 2005)

• Monitored and reconciled all trade activity flowing through sundry, principal trading, error, and commission accounts

held through clearing firm.

• Successfully Integrated technology solutions including DTCC’s Fund/SERV and Networking platforms, serving as Project

Manager, collaborating with Information Systems Division and operations teams.

• Managed daily DTCC mutual fund trade settlement and commission payment process.

• Collaborated with Sales, Marketing and Compliance Divisions to identify and promote new product offerings including

private label asset management wrap programs.

• Ensured regulatory requirements were met by overseeing all of firm’s securities business activity, acting as designated

Registered Principal.

• Developed annual firm element continuing education module on general securities, brokerage products, trading, and

margin rules.

Trade Support Associate (1992 – 1995)

• Supported all facets of trading desk activity including placing equity, fixed income and mutual fund trades, and

confirmation of executions.

• Responsible for establishment and maintenance of brokerage accounts.

• Processed and tracked status of incoming and outgoing brokerage account transfer requests.

• Responsible for all cashiering functions including account deposits and distributions, NSCC trade settlement, and FINRA

(formerly NASD) Regulation T extension requests.

EDUCATION PROFESSIONAL LICENSES

FINRA Series 7 General Securities Registered Rep.

THE AMERICAN COLLEGE, Bryn Mawr, Pennsylvania

FINRA Series 24 General Securities Principal

Master of Science in Management

FINRA Series 53 Municipal Securities Principal

FINRA Series 63 Uniform Securities Agent State Law

TEMPLE UNIVERSITY, Philadelphia, Pennsylvania

Bachelor of Business Administration in Finance

ADDITIONAL SKILLS

• MS Office, Word, Excel, PowerPoint, NetX360

• Working knowledge of retirement plans including IRS tax reporting and ERISA regulatory guidelines

Contact this candidate