Chief Compliance Officer
- Company:Two12 Financial Services
- Short Bio:Sara has a depth of senior leadership experience in the financial services industry with a focus on Risk Management, Supervision and Compliance. Sara currently serves as the CCO at Two12, in Austin, TX. Through her consulting practice, Antestari, Sara provides various independent advisory and broker dealer clients with compliance and risk management solutions. She has served as Chief Compliance Officer for a variety of advisory and broker/dealer firms including M Financial, Capital One Investing, Capital One Advisors LLC., TD Ameritrade and Ameritas Investment Corp. In these roles Sara directed compliance and/or risk functions, served on a variety of governance, investment and risk oversight committees, oversaw regulatory examinations and led teams of compliance and risk professionals. Sara has been active in the industry serving on various Securities Industry and Financial Markets Association (SIFMA) and Financial Industry Regulatory Authority, Inc. (FINRA) committees. Sara has served on the advisory boards of both the University of Nebraska College of Business and their MBA program; and also served as a board member for the Omaha Area Youth Orchestra. Sara completed the FINRA Institute at Wharton and as such is a designated Certified Regulatory and Compliance Professional. She holds multiple securities licenses and is a graduate of the University of Nebraska–Lincoln.
February 18, 2021, 13:00 PM
SESSION 1: Risk Management
SESSION 2: SEC & FINRA Exam Priorities