Suzanne Gunther

Suzanne Gunther, a Managing Director with StoneTurn, has more than 20 years of experience in compliance controls and monitoring for the private sector. Specifically, she focuses on developing compliance programs and risk assessments.

Working with large financial services firms, she has led the development of compliance policies and procedures in these organizations. Suzanne has worked with various organizations across the financial services industry, including investment banks, asset management and brokerage firms.

Prior to joining StoneTurn, Suzanne was with Citigroup Global Markets Inc., where she served as Senior Vice President reporting to the Investment Advisory CCO. Previously, she was with Bank of New York Mellon Asset Management, where she was the Compliance Manager reporting to the CCO of Dreyfus. Prior to BNY Mellon Asset Management, she was with Barclays, where she served as Vice President and Regulatory Compliance Officer.

She also served as Vice President in Compliance and Legal for Neuberger Berman Management LLC. Prior to Neuberger Berman, she was with Lehman Brothers, where she held the position of Privacy Compliance Officer.

Suzanne has focused on the Investment Advisers Act, the Investment Company Act, SEC and FINRA regulations.

Previously, she was with a large public accounting firm, where she served as manager in both the Dispute Analysis & Investigations group and Ethics and Compliance Group. She began her career with another large public accounting firm, where she served as a tax consultant.

Turn to Suzanne

With an emphasis on building trust, responsiveness is steeped into our culture; we make every effort to communicate frequently with our clients and treat them with honesty, warmth and candor.

Suzanne Gunther

Q: Can you give an example of StoneTurn’s lean and efficient approach?


A:

StoneTurn’s operational strategy and size compared with larger, similar firms allows us to be more lean and efficient. Our professionals possess unique and discrete skill sets based on experience honed in various industries, but many share expertise in accounting, forensic investigations and valuations. This enables us to staff assignments with the most appropriate expert for the clients’ needs and, in turn, ensures that clients receive the most efficient and effective level of experience from across the entire firm.

Q: Clients say they look to StoneTurn to be a trusted adviser. Can you describe how we serve in that role?


A:

StoneTurn recognizes that cultivating long-term relationships is critical to the firm’s success. Every employee is made aware of the significant importance of maintaining valued client relationships, including through communications, work product and activities that take place outside the firm. We are always there for clients—whether we are formally engaged on a matter or not. With an emphasis on building trust, responsiveness is steeped into our culture; we make every effort to communicate frequently with our clients and treat them with honesty, warmth and candor.

Q: Every day, StoneTurn professionals help clients untangle complex problems. Can you give us an example of a great client challenge you faced and how you successfully solved it?


A:

An attorney with whom StoneTurn has a long-standing relationship reached out for assistance in analyzing trading data in connection with an SEC and DOJ investigation. Leveraging the unique and deep skill sets of StoneTurn’s professionals, we were able to quickly respond to the client’s request and address specific needs with regard to the data required to perform a comprehensive analysis.

Areas of Practice