Sara Ashman Smith, Ctfa, Cfirs

Sara Ashman Smith, Ctfa, Cfirs Email and Phone Number

Chief Operating Officer @ Cox Consulting Network
Austin, TX, US
Sara Ashman Smith, Ctfa, Cfirs's Location
Austin, Texas, United States, United States
About Sara Ashman Smith, Ctfa, Cfirs

Seasoned operations, compliance, and risk management professional providing dynamic and inclusive organizational leadership.I'm passionate about the development of "best practices" and operational efficiencies that encourage sustainable growth while also managing risk. Through the development of successful compliance, risk management and audit programs, the design and implementation of well-considered policy and procedures, and ongoing training in regulatory matters, my focus is on establishing a thoughtful and innovative company-wide compliance program that effectively mitigates risk. Specialties: Regulatory compliance, operations, internal controls, gap analysis, third-party vendor risk management, information and data security, BSA/AML compliance, policy and procedure creation and testing, KYC policy and program creation, technology improvements and implementations, internal audit functions, examination management, business continuity planning, wealth and estate planning, trust administration, and estate settlement.

Sara Ashman Smith, Ctfa, Cfirs's Current Company Details
Cox Consulting Network

Cox Consulting Network

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Chief Operating Officer
Austin, TX, US
Website:
coxnet.work
Employees:
63
Sara Ashman Smith, Ctfa, Cfirs Work Experience Details
  • Cox Consulting Network
    Chief Operating Officer
    Cox Consulting Network
    Austin, Tx, Us
  • Cox Consulting Network
    Chief Of Staff
    Cox Consulting Network Jan 2023 - Present
    Austin, Texas, United States
  • Dimensional Fund Advisors
    Compliance Officer
    Dimensional Fund Advisors Jun 2022 - Jan 2023
    Austin, Texas, United States
  • Midland Wealth Management
    Manager - Risk And Compliance
    Midland Wealth Management Jun 2021 - May 2022
    Chicago, Illinois, United States
    Responsible for the development of the business unit risk and compliance program to identify areas of business risk and design and implement policy/procedure improvements to minimize risk and provide for consistent and efficient service delivery. Responsible for identifying and implementing all applicable regulations and ensuring adherence to compliance programs.Coordinates risk management initiatives and compliance activities with corporate ERM, compliance, and audit/assurance functions. Serves as project manager on process re-design initiatives, including automated process workflow implementation utilizing Salesforce and other technology solutions
  • Atg Trust Company
    Chief Operating Officer And Vice President-Risk And Compliance
    Atg Trust Company Mar 2019 - Jun 2021
    Chicago, Illinois
    Played key role in the sale of the company to Midland Trust. Responsible for due diligence and systems conversion during the acquisition period. Responsible for technology implementations, regulatory compliance functions, risk assessment and program management, policy and procedure design, implementation and review, internal audit management, information and data security program development and testing, regulatory examination preparation and management, and operational efficiencies testing and review. Acts as the compliance liaison to the Board of Directors and associated Committees and prepares and conducts staff training programs in all areas of compliance and policy/procedure development. Strong experience in BSA/AML program development, third-party vendor due diligence and risk management, FFIEC information technology examination guidelines, Business Continuity Management, Investment Company Act of 1940 and the Investment Advisers Act of 1940.
  • Campfyre Consulting, Inc.
    President/Principal Consultant
    Campfyre Consulting, Inc. May 2015 - Mar 2019
    Austin, Texas Area
    Seasoned trust and compliance consultant offering services in trust and estate administration and compliance/risk management functions. Provides experience and direction to independent trust companies, bank trust departments, and estate planning law firms in client retention, trust administration, investment management, tax planning and the creation and review of compliance and risk management policy and procedure.
  • Atg Trust Company
    Director Of Exchange Services
    Atg Trust Company Mar 2004 - Jun 2015
    Directs and manages the IRC §1031 Tax-Deferred Exchange program. An IRC §1031 Exchange is the exchange of investment properties and results in a tax-deferral of capital gain on the sale of an investment property. Responsible for the successful completion of hundreds of exchanges per year. Works directly with attorneys and their clients and advises them throughout the exchange process. Provides continuing legal education seminars about exchanges and related tax-deferral topics.ATG Trust Company is a wholly-owned subsidiary of Attorneys' Title Guaranty Fund, Inc., an attorney service organization. ATG Trust Company also provides mandatory continuing legal education for the states of Illinois and Wisconsin.
  • Atg Trust Company
    Sr. Trust Administrator
    Atg Trust Company Nov 2014 - May 2015
    Chicago, Il
    Responsible for new client acquisition and retention through effective management and administration of client trust accounts. Reviews legal and financial documents, cultivates customer relationships and transfers and invests balances for clients. Manages a portfolio of over 100 trust accounts with ~$150M in assets under management.Leads internal team of trust administrators, managing workflow and account activity. Active in developing company risk management policies and assisting compliance audits. Sits on the firm Trust and Investment Committee overseeing all client business.Specialties include Estate Settlement, Irrevocable Trusts, Irrevocable Life Insurance Trusts and Special/Supplemental Needs Trusts.ATG Trust Company is a wholly-owned subsidiary of Attorneys' Title Guaranty Fund, Inc., an attorney service organization. ATG Trust Company also provides mandatory continuing legal education for the states of Illinois and Wisconsin.
  • Atg Trust Company
    Trust Administrator
    Atg Trust Company Jun 2010 - Nov 2014
    Responsible for new client acquisition and retention through effective management and administration of client trust accounts. Reviews legal and financial documents, cultivates customer relationships and transfers and invests balances for clients. Manages a portfolio of over 50 trust accounts with ~$80M in assets under management. Sits on the firm Trust and Investment Committee overseeing all client business. Specialties include Estate Settlement, Irrevocable Trusts, Irrevocable Life Insurance Trusts and Special/Supplemental Needs Trusts.ATG Trust Company is a wholly-owned subsidiary of Attorneys' Title Guaranty Fund, Inc., an attorney service organization. ATG Trust Company also provides mandatory continuing legal education for the states of Illinois and Wisconsin.
  • Atg Trust Company
    Trust Associate
    Atg Trust Company Mar 2004 - Jun 2008
    Chicago, Il
    Assists in the management and retention of complex personal trust accounts.

Sara Ashman Smith, Ctfa, Cfirs Skills

Estate Planning Real Estate Crm Sales Strategic Planning Financial Analysis Business Strategy Project Management Management New Business Development Corporate Law Risk Management Mutual Funds Due Diligence Microsoft Excel Investments Trusts Process Improvement Compliance Investment Strategies Budget Forecasting Business Analysis Financial Audits Insurance

Sara Ashman Smith, Ctfa, Cfirs Education Details

Frequently Asked Questions about Sara Ashman Smith, Ctfa, Cfirs

What company does Sara Ashman Smith, Ctfa, Cfirs work for?

Sara Ashman Smith, Ctfa, Cfirs works for Cox Consulting Network

What is Sara Ashman Smith, Ctfa, Cfirs's role at the current company?

Sara Ashman Smith, Ctfa, Cfirs's current role is Chief Operating Officer.

What schools did Sara Ashman Smith, Ctfa, Cfirs attend?

Sara Ashman Smith, Ctfa, Cfirs attended Gies College Of Business - University Of Illinois Urbana-Champaign, University Of Illinois Urbana-Champaign.

What skills is Sara Ashman Smith, Ctfa, Cfirs known for?

Sara Ashman Smith, Ctfa, Cfirs has skills like Estate Planning, Real Estate, Crm, Sales, Strategic Planning, Financial Analysis, Business Strategy, Project Management, Management, New Business Development, Corporate Law, Risk Management.

Who are Sara Ashman Smith, Ctfa, Cfirs's colleagues?

Sara Ashman Smith, Ctfa, Cfirs's colleagues are Jeri D., Kristyn K., Matt Cox, Todd Wagner, Jennifer Cox, Ryan Meyering, Rachel Jackson.

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