Sara Sparks

Compliance Consultant

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Sara is a Compliance Consultant specializing in state and SEC registrations, regulatory filings, client agreements,  and general consulting for day-to-day compliance duties. She assists firms with their initial registrations and offers ongoing assistance to help each client build out their compliance program. Sara ensures firms stay abreast of regulatory filings and frequent policy changes. Her approach to complicated and sometimes overwhelming compliance responsibilities is to simplify weekly compliance duties. She is the team lead for the automated task management tool offered through Compliance Resource Partners and conducts training as requested. Sara partners with compliance professionals at each firm to provide best practices, helpful tools and resources in fostering an ongoing culture of compliance. 
 
Sara was previously a Supply Chain Management specialist with Motorola SPS and Dell, Inc. where she ensured that manufacturing processes ran uninterrupted while simultaneously implementing cost-cutting initiatives. She understands the need for attention to detail when it comes to regulatory agencies and brings a fresh perspective into the compliance consulting world.
 
Sara earned her Bachelor of Arts Degree in Business Administration from the University of San Diego. She lives in the Denver area and supports her community through actively volunteering for her children’s schools along with various support services within the Catholic Charities Organization. She is a mother of three and when she’s not working, she finds herself spending a majority of her time driving her children to their various sporting events and cheering from the sidelines. When time permits, Sara enjoys spending time with her husband, exercising, snow skiing, hiking or taking her sweet golden retriever, Rebel, to the dog park.     

Get in Touch

303-797-0550 Ext. 3