Sarah Sutton

Senior Consultant

Sarah has over 20 years of experience in the financial services industry on both the revenue and compliance sides of the business. Her expertise includes compliance supervision, leading firm and regulatory examinations, regional and retail branch management, brokerage and clearing operations, developing and implementing advisor best practices along with technology training, financial planning delivery and implementation, advisor and firm transition management to new firms and channels, and project management for advisor and client solutions. Prior to joining Oyster Sarah was Director of Investment Services  at First Horizon Advisors, Inc., where she led the Wealth Services division that handled all brokerage operations and advisor support, including managing all branch activity.

Expertise

  • Outsourced CCO for Registered Investment Advisor
  • Email and Trade review
  • AML Program development and testing
  • Client Compliance resolution
  • Developing Business Plans for small account solutions, for firms implementing account minimum requirements for their advisors
  • Options Principal and Options Trade review
  • Updating and testing Written Supervisory Procedures
  • Merger and Acquisition Planning
  • Developing Client Experience Roadmap for service
  • Developing roles and responsibilities for advisors’ practices
  • Investment Management
  • Developing and maintaining annual compliance review schedule
  • Performing annual compliance audits and annual compliance meetings
  • Performing branch audits and responding to regulatory inquiries
  • Advising firms on vendor negotiations and contract renewals
  • Working with clients to establish a CRM platform and strategy
  • Implementing strategic advisor adoption of financial planning and delivery of financial plans to clients using available technology
  • AML onboarding review of new clients

Career Highlights

  • Director of Investment Services and Training, First Horizon Advisors
  • Branch Manager and Financial Advisor, Raymond James
  • Regional Manager- Advisor Transition Management, Client Services and Branch Services, Raymond James
  • Senior Vice President, Practice Management, Morgan Keegan