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Wealth Management Compliance Specialist

Department: Audit/Compliance
Location: Minot, ND

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 Specialist position and submit your online application!

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 and Trust, with a particular emphasis on Private Wealth Management.
  • Consults with and advises personnel affected by compliance issues and regulatory requirements.
  • Completes monthly reviews of Trust and Agency files for compliance with applicable laws, regulations, and policy efficiently, effectively, and timely:
    • Reviews selected accounts
    • Documents findings
    • Tracks and monitors exceptions
  • Completes monthly reviews of specialty areas and other product offerings of the Private Wealth Management area, including Discretionary Distributions, Land and Minerals Management, and Retirement accounts, for compliance with applicable laws, regulations, and policy efficiently, effectively, and timely:
    • Reviews selected accounts or areas
    • Documents findings
    • Tracks and monitors exceptions
  • Maintains proper correspondence and legal files.
  • Reviews emails and branch messages to remain current on policy or procedural changes and new product offerings.
  • Reviews publications and attends training to maintain proficiency on the industry’s environment and changes to Federal and State banking laws and regulations affecting the management, operations and product offerings of First International Bank and Trust with a particular emphasis on Private Wealth Management.
  • Assists with various projects and assignments as needed.
  • Responsible for confidentiality including protection of sensitive information and its’ integrity in compliance with First International Bank and Trust’s information security and departmental policies, standards and procedures. Responsible for reporting events including suspicious activity.

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

Experience: Four to six years of experience in the private wealth, trust, asset management, or investment areas; or equivalent combination of education and experience is required. Compliance experience in the Private Wealth Management area preferred.