Sara Ashman Smith, Ctfa, Cfirs Email and Phone Number
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.
Cox Consulting Network
View- Website:
- coxnet.work
- Employees:
- 63
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Chief Operating OfficerCox Consulting NetworkAustin, Tx, Us -
Chief Of StaffCox Consulting Network Jan 2023 - PresentAustin, Texas, United States -
Compliance OfficerDimensional Fund Advisors Jun 2022 - Jan 2023Austin, Texas, United States -
Manager - Risk And ComplianceMidland Wealth Management Jun 2021 - May 2022Chicago, Illinois, United StatesResponsible 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 -
Chief Operating Officer And Vice President-Risk And ComplianceAtg Trust Company Mar 2019 - Jun 2021Chicago, IllinoisPlayed 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. -
President/Principal ConsultantCampfyre Consulting, Inc. May 2015 - Mar 2019Austin, Texas AreaSeasoned 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.
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Director Of Exchange ServicesAtg Trust Company Mar 2004 - Jun 2015Directs 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. -
Sr. Trust AdministratorAtg Trust Company Nov 2014 - May 2015Chicago, IlResponsible 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. -
Trust AdministratorAtg Trust Company Jun 2010 - Nov 2014Responsible 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. -
Trust AssociateAtg Trust Company Mar 2004 - Jun 2008Chicago, IlAssists in the management and retention of complex personal trust accounts.
Sara Ashman Smith, Ctfa, Cfirs Skills
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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