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Wealth Management Compliance Officer

Department: Corporate
Location: Phoenix, AZ

First International Bank and Trust is a family-owned community bank and one of Prairie Business Magazine's 50 best places to work for 10 years running. We are currently seeking an experienced and detail-oriented Wealth Management Compliance Officer to join our 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

  • Provide expert advice, information, and specialized training to the Wealth Management Risk Manager (WMRM), governance committees, senior leaders, and team members on complex risk management and fiduciary compliance issues.
  • Identify and evaluate proposed changes in fiduciary and ERISA laws, regulations, and industry best practices and support the WMRM in advising senior leadership, governance committees and the board of projected impacts on line of business policies, procedures operating practices and strategic objectives.
  • Provide support to the WMRM in creating and maintaining comprehensive policies and procedures that reflect evolving laws, regulations and industry best practices.
  • Lead a collaborative process with team members to identify, measure, prioritize and manage risks that may affect the line of business and its ability to execute the business plan and achieve strategic objectives.
  • Providing significant support to the WMRM in creating and maintaining risk-based compliance testing programs and ensuring successful execution of the board-approved testing plan, which has been designed to evaluate compliance with applicable laws, regulations, industry best practices, and internal policies and procedures.
  • Provide support to the WMRM in administering the line of business Secrecy Act Anti-Money Laundering (BSA/AML) Program.
  • Administer a risk-based compliance oversight process for other matters of high-importance to government regulators.
  • Participate in line of business ongoing business planning process.
  • Assist in coordinating responses to pre-examination and pre-audit information requests and actively interfacing with examiners and auditors during their on-site examinations and audits.


  • Bachelor’s degree in accounting, finance, economics, business, or a juris doctorate degree from an accredited college or university; a minimum of five years risk management and/or compliance experience in trust, employee benefits, wealth management, or asset management; or equivalent combination of education and experience is required.
  • Candidate must be knowledgeable about enterprise risk management, laws (state and federal), regulations and industry best practices pertaining to trust, employee benefits, wealth management, investments, and asset management activities.
  • Certified Fiduciary & Investment Risk Specialist (CFIRS) or similar industry designation is strongly 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, 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

Equal Opportunity Employer