NICHOLAS POLLUTRI

8748 Bay 16th Street | Brooklyn, NY 11214 | C: 347.879.2254 H: 347.587.605

5 | np4bdf72@westpost.net

Senior Relationship Manager

SYSTEMS MANAGEMENT | CUSTOMER SERVICE EXPERTISE | PROCESS DEVELOPMENT
Highly innovative, and results oriented relationship management leader with a re
cord of accomplishment in supporting the growth and accuracy of complex financia
l transactions and business operations. Conduct strategic planning and develop p
rocesses and training materials in support of investment service strategies. Com
prehensive understanding of the investment management industry, including intern
al systems management, transaction processing, and operational flow. Recognized
as an effective communicator who adds value at all professional levels. Catalyst
for proactive and positive change. Additional strengths include:
*Quality Assurance
*Process Development / Research
*Transaction Management
*Broker Relationship Management
*Staff Mentorship & Training
*Vendor Contract Review & Oversight
*Financial Operations Management
*Customer Service / Leadership Skills
PROFESSIONAL EXPERIENCE
AMERIPRISE INVESTMENTS, INC., (formerly J&W Seligman Company, Inc.) New York, NY
2006-2009
Brokerage Administration Analyst
Assisted Chief Investment Officer in overseeing new vendor service requests for
soft and hard dollar applications and collaborated with Assistant General Counse
l in reviewing contracts submitted by vendors. Worked with chair of Brokerage Ov
ersight Committee (BOC) in preparing meeting agendas and following-up on actions
. Served a conduit between the equity trading desk and brokers in assigning appr
oved services.
* Aided the Chief Compliance Officer in reengineering a monthly-directed brokera
ge report used to capture the retirement assets of large institutional clients,
to facilitate due diligence procedures.
* Updated various systems for reconciling service invoices to facilitate the pro
mpt payment of soft and hard dollar payments, including balancing invoice paymen
ts.
* Maintained working relationships with brokers and vendors to ensure prompt fol
low-up on web approvals, monthly statement reconciliations, and equity trading d
esk issues revolving around soft dollar trades, which affected the monthly state
ment review.
* Formulated, constructed, and implemented a comprehensive training and procedur
es manual relating to the job description of a senior relationship manager, as a
requirement for the acquisition of Seligman Data Corporation.
SELIGMAN DATA CORPORATION, New York, NY 1995-2006
Senior Relationship Manager, Mutual Funds (1997-2006)
Maintained the operational and telephone support services for several top broker
s/dealers, including Merrill Lynch, Linsco Private Ledger, Donaldson Lufkin Jenr
ette, Charles Schwab, Raymond James, and Citigroup among others. Managed all dai
ly operational processes. Recipient of numerous 'Monthly Service Star Awards' an
d the 'Quarterly Superstar Award' presented to individuals who attain the highes
t level of service.
* Monitored telephone service quality and developed quality assurance business m
odels to support the broker/dealer community.
* Conducted on site visits to top tier broker/dealers, to ensure high service qu
ality standards.
Assistant Vice President, Mutual Funds Operations (1995-1997)
Supervised four direct reports and a staff of 22 in managing the daily operation
al processes for IRA and 401k group plans. Selected by senior management in 1997
to become part of this newly formed business unit.
* Developed and nurtured relationships with insurance companies, banks, transfer
agencies, financial planners, brokers, and internal and external wholesalers in
the settlement of trades and exchanges, and in establishing new accounts.
* Recipient of numerous weekly, monthly, and quarterly "Superstar Awards" for ou
tstanding service, and received numerous accolades from the broker dealer commun
ity.
Nicholas Pollutri, Page Two
C: 347.879.2254 H: 347.587.6055 | np4bdf72@westpost.net
Professional Experience Continued:
HERZOG, HEINE & GEDULD, New York, NY 1994-1995
Manager, Mutual Funds Operations
Managed the daily operations of processing mutual fund transactions utilizing th
e ADP/NSCC Fund Serv interface, including trading, reconciliation, exchanges, co
mmissions, and 12B1.
* Interfaced with the corresponding base of broker dealer to resolve networked o
ut of balance problems, as well as operational questions and concerns with fund
groups and transfer agents regarding the bi-monthly position files.
QUEST FOR VALUE DISTRIBUTORS, New York, NY 1992-1994
Assistant Vice President, Mutual Funds Operations & Call Center
Oversaw the daily operations and processing of mutual fund shareholder and broke
r dealer calls. Supervised the operations manager, technical supervisor, and 12
employees. Functioned as a liaison for the transfer agent (BFDS) and the interna
l MENTAP system, as well as a broker/dealer client base of 425 wire houses, brok
erage firm banks, and insurance companies, for all service and operational conce
rns.
EQUICO SECURITIES, New York, NY (1990-1992)
Assistant Vice President, Quality Control Officer
Supervised eight direct reports and managed the business relationship of registe
red representatives and agency/district managers of the Equitable Life Assurance
network, including over 9000 agents. Responded to issues regarding problem reso
lution with a heavy emphasis on commission related inquiries. Recognized by fiel
d agents, districts, and outside vendors with numerous letters for outstanding p
erformance.
* Functioned as a key team member of a conversion group, transferring all data f
rom the Wang system to the new System Processing and Record Keeping System (SPAR
KS), as well as the NSCC/FundServ interface for all trade related functions.
* Maintained effective and efficient business relations with systems, order desk
, document review, accounting, commissions and research areas to maintain and up
grade quality control standards for productivity.
* Developed a comprehensive operations procedural manual.
PRUDENTIAL MUTUAL FUND SERVICES, Edison, NJ (1988-1990)
Manager of Financial Control, Transaction Processing Units
Maintained the daily reconciliation of 94 proprietary mutual funds, including ca
shbook, dividend, bank reconciliation, fund proof, adjustment, support services,
escheatment and RPO units. Coordinated independent audits by Touche Ross, Price
Waterhouse and the SEC. Supervised 28 employees with two supervisors.
EDUCATION
BROOKLYN COLLEGE, Brooklyn, NY - Coursework in Business Economics