Ciara Sutton Email & Phone Number

United States

United States

Saint Louis, Missouri

Prevent, detect, and resolve compliance issues through monitoring and supervising multiple field supervision reports. Provide education to Financial Advisors who are out of compliance with firm and FINRA rules. Conduct client contacts to ensure and verify accuracy of activity. • Detected, investigated, and recalled a $100k distribution from a deceased client's account without proper estate processing to an unauthorized person, and a $40k distribution to an unauthorized POA attempting to misappropriate client funds. • Educated numerous advisors on FTA and POA gifting policies.• Supervised online client activity and locking account access when necessary.

Greater St. Louis Area

St. Louis, Mo

Educated and coached nearly 500 branch offices and service center teams through on-the-spot education focusing on standard operating procedures and industry regulations. Developed and managed complex organizational projects to satisfy changing business needs and applied changes into branch office operations.• Managed and implemented steps to “Intrastate Call-Routing” project to shorten client hold-times during months leading up to TD Ameritrade conversion. Results increased calls handled from 83% to 92% and reduced average-speed-of-answer (ASA) from 1:35 to 0:39.• Created and implemented new standard procedures for business continuity and maintaining contact with displaced associates due to natural disasters and other emergencies.• Reviewed and addressed risks associated with branch activities, requests, and interactions. Successfully mitigated additional risk to firm, and specific clients, after discovering complex compliance issue from a normal cancel/rebill trade request.• Granted and denied exceptions, special requests, and fee waivers after conducting in-depth research into complex issues as submitted by branch offices on a daily basis.• Documented and analyzed branch requests and interactions using SharePoint, then completed real-time analytic data reports to review monthly associate activities by regions.

St. Louis, Mo

Advised mass affluent clients over phone through personal discussion and portfolio review.• Top-10 Financial Advisor in assets invested 2 quarters in a row, Q4 2015 and Q1 2016.• Peer nominated “Sub-Team Leader”, responsible for leading meetings and managing a sub-team of seven Financial Advisors. Sub-team ranked first of three sub-teams in all monthly performance indicators for 3-months in a row after nomination. • Actively engaged in Toastmasters and the Women’s Team Member Network.• Top 20% in leads contacted every month while active Financial Advisor. • 100% customer satisfaction on monthly surveys 16 of 18 months reported.