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Wealth Management Compliance Specialist
| Department: | Audit/Compliance |
| Location: | Phoenix, AZ |
We are currently seeking an experienced and detail-oriented Wealth Management Compliance Specialist to join our Audit and Compliance team at First International Bank and Trust. This role is crucial to ensuring that our company adheres to all relevant regulations and compliance standards within the wealth management industry.
Key Responsibilities
- Conduct compliance testing reviews of trust and investment management accounts, document exceptions, meet with stakeholders to clear exception and summarizes findings on monthly basis.
- Assist in the maintenance of comprehensive policies, procedures, and disclosures.
- Assist in the development of compliance-related training for leaders and associates.
- Support the Wealth Management Compliance Manager in researching and disseminating proposed changes in fiduciary laws, regulations, and industry best practices.
- Assist in facilitating examinations and audits by assembling documents requested by examiners and auditors.
- Manage required regulatory reports, including Personal Securities Transactions.
- Assist with the development of annual compliance testing, scripts, training schedule and materials.
- Serve as secretary of Trust Risk and Compliance Committee and compile meeting minutes.
- Review and approve marketing reviews.
Qualifications
- Bachelor’s degree in accounting, finance, economics, or business from an accredited college or university; four to six years of compliance, audit, or regulatory examination experience in trust and asset management, at a bank, broker-dealer or registered investment advisory firm (or equivalent combination of education and experience).
- Certified Fiduciary & Investment Risk Specialist (CFIRS), Certified Trust and Financial Advisor (CTFA) or similar industry designation is strongly preferred.
- FINRA licenses will not be maintained.
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, training, and growth opportunities. Here are the things we offer within our full-time benefits package:
- Generous PTO and Holiday pay
- Health, Dental & Vision
- 401K Retirement Plan with Employer Match
- Paid Parental Leave
- Life and Disability Insurance
If you are interested in learning more, you can apply or if you have questions before applying you can reach out directly to TalentAcquisition@FIBT.com.
Equal Opportunity Employer