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Wealth Management Compliance Manager

Department: Wealth Management
Location: Phoenix, AZ

At First International Bank and Trust our Wealth Management Compliance Manager has a strong understanding of laws regulations and industry best practices relating to the Trust business.

To be successful in this role a candidate must consider matters beyond what simply following established processes allows them to see.

A successful compliance candidate must be personable, build relationships of trust and prove that they are willing to work in partnership with front-line folks to find solutions that are compliant and meet company and client needs.

Key Responsibilities:

  • Examines First International Bank and Trust’s Wealth Management policies, procedures, and practices to ensure compliance with various laws and regulations.
  • Stays abreast of changes to Federal and State banking laws and regulations affecting the management, operations, and product offerings of First International Bank & Trust, with a particular emphasis on Wealth Management.
  • Assists in the revision, preparation and dissemination of new and updated compliance standards, policies, and procedures.
  • Prepares an annual risk assessment, compliance program, and schedule of reviews for the Wealth Management area annually.
  • Informs and advises Management of conditions and status of First International Bank and Trust’s adherence to laws and regulations, with a particular emphasis on Wealth Management.
  • Consults with and advises personnel affected by compliance issues and regulatory requirements.
  • Ensures that monthly reviews of Trust and Agency files for compliance with applicable laws, regulations, and policy are completed efficiently, effectively, and timely: 
    • Conducts entrance and exit interviews.
    • Selects files, performs reviews, and tracks exceptions.
    • Drafts reports and presents findings to the Trust Committee, Wealth Management Group, the Audit Committee, and to other Wealth Management Committees on an as needed basis.
  • Ensures that monthly reviews of specialty areas and other product offerings of Wealth Management, including Land and Minerals Management, and Retirement accounts, for compliance with applicable laws, regulations, and policy are completed efficiently, effectively, and timely:
    • Conducts entrance and exit interviews.
    • Selects files, performs reviews, and tracks exceptions.
    • Drafts reports and presents findings to the Trust Committee, Wealth Management Group, the Audit Committee, and to other Wealth Management Committees on an as needed basis.
  • Assists in facilitating Federal and State examinations for the Wealth Management Department.
  • Maintains proper correspondence and legal files.
  • Reviews emails and branch messages to remain current on policy or procedural changes and new product offerings.
  • Attends periodic training to receive information about various Wealth Management services and participates in an exchange of ideas and problems.
  • Assists with various projects and assignments as needed.
  • Provides written and oral instructions to subordinates.
  • Conducts performance evaluations and one-on-one meetings with subordinates as outlined by Human Resources.
  • Maintains harmony among workers and resolves grievances.

Qualifications:

  • Prior experience (at least 7+ years) as a trust regulatory examiner or a trust audit or compliance professional.
  • Be a builder and executer while performing their job responsibilities in an environment of with some ambiguity.
  • Be able to work in “gray areas,” where there are not always established standards for compliant behavior.
  • Bachelor’s degree required with a JD degree preferred.
  • Designation as a Certified Fiduciary and Investment Risk Specialist (CFIRS) or Certified Trust and Financial Advisor (CTFA), with the CFIRS designation preferred to the CTFA preferred.

First International Bank and Trust is a family-owned full-service Community Bank with locations in ND, MN, SD, and AZ.

We show our employees we care by providing competitive benefits and training and growth opportunities.

If you are interested in learning more, you can apply or if you have questions before applying you can reach out directly at TalentAcquistiion@FIBT.com.

Equal Opportunity Employer