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Wealth Management Compliance Manager

Department: Wealth Management
Location: Phoenix, AZ

First International Bank and Trust is recognized six years in a row for being a Top 50 Best Places to Work isn’t just an award placed on the shelf. It speaks to the teams of colleagues who are dedicated to create extraordinary experiences based on the philosophy treating every customer like family.

Please see below for additional information regarding the Wealth Management Compliance Manager position and submit your online application!

Position Summary:  Under the direction of the Director of Compliance and Audit, is responsible for developing and implementing the Bank’s compliance program related to the Private Wealth Management Department, for overseeing the daily operations of the program, and leading a team that ensures adherence of First International Bank and Trust's policies and procedures to Federal and State laws and regulations by performing the following duties:

Essential Duties and Responsibilities include the following. Other duties as assigned.

  • Examines First International Bank and Trust’s Private 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 Private 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 Private 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 Private 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.
    • Writes reports and presents findings to the Trust Committee, Private Wealth Management Group, the Audit Committee, and to other Private Wealth Management Committees on an as needed basis.
  • Ensures that monthly reviews of specialty areas and other product offerings of Private 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.
    • Writes reports and presents findings to the Trust Committee, Private Wealth Management Group, the Audit Committee, and to other Private Wealth Management Committees on an as needed basis.
  • Assists in facilitating Federal and State examinations for the Private Wealth Management Department. 
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  • 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 Private 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.

Education: Bachelor's degree from a four-year college or university with a degree in accounting, finance, economics, business, or a juris doctorate degree preferred. 

Experience: Seven years compliance experience in the private wealth, trust, asset management, or investment areas; or equivalent combination of education and experience is preferred.  Experience or knowledge of FDIC, Department of Labor, Securities Exchange Commission, and the Employee Retirement Income Security Act regulations is preferred.

Certifications:  Certified Fiduciary & Investment Risk Specialist (CFIRS) or similar designation is preferred.  A Certified AML & Fraud Professional (CAFP), Certified Regulatory Compliance Manager (CRCM), or Certified Trust & Financial Advisor (CFTA) or similar designations would be beneficial.