Wealth Management Compliance Officer

3 weeks ago


Phoenix, United States First International Bank & Trust Full time

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.

Qualifications

* Bachelors 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 TalentAcquisition@FIBT.com.

Equal Opportunity Employer



  • Phoenix, United States First International Bank & Trust Full time

    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...


  • Phoenix, United States Christian Family Care Agency Full time

    **Quality and Compliance Officer** Full Time, Exempt (30-40 hours per week, see note below)* Salary Range: $62,000 - $72,000 DOE annually Phoenix, Arizona Christian Family Care (CFC) is looking to hire a **Quality and Compliance Officer** to oversee organizational performance, reporting, quality improvement, risk management, and policies/procedures for the...


  • Phoenix, United States Arizona Official Website of State of Arizona Full time

    Job Summary: The Chief Compliance Officer (CCO) is a member of the AHCCCS Leadership Team who oversees the AHCCCS Compliance Program. The CCO provides high-level managerial work of considerable complexity and is responsible for developing and implementing policies, procedures, and practices designed to ensure compliance with all applicable Federal and...

  • Compliance Officer

    2 days ago


    Phoenix, United States State of Arizona Full time

    DEPARTMENT OF ECONOMIC SECURITY - Your Partner For A Stronger Arizona. _ - DES works with families, community organizations, advocates and state and federal partners to realize our collective vision: A thriving Arizona._ - DES serves more than 3 million Arizonans. Our Mission is to strengthen individuals, families, and communities for a better quality of...

  • Compliance Manager

    2 weeks ago


    Phoenix, United States American Dental Companies Full time

    Job DescriptionJob DescriptionJoin American Dental Companies as a Dental Compliance Manager!About ADC:American Dental Companies (ADC) is a rapidly expanding organization within the dental industry dedicated to providing high-quality dental care and services across the United States. As we grow and partner with new offices, we are committed to ensuring a...


  • Phoenix, United States Tier4 Group Full time

    Direct Hire / Permanent Position $80k Salary + Bonus + GREAT Benefits Hybrid Onsite Schedule in Phoenix, AZResponsibilities:Open new client accounts as custodians and act as a liaison with those custodians.Open new client accounts with third-party investment managers and serves as an operational liaison with those managers.Facilitate client wire requests,...


  • Phoenix, United States Tier4 Group Full time

    Direct Hire / Permanent Position $80k Salary + Bonus + GREAT Benefits Hybrid Onsite Schedule in Phoenix, AZResponsibilities:Open new client accounts as custodians and act as a liaison with those custodians.Open new client accounts with third-party investment managers and serves as an operational liaison with those managers.Facilitate client wire requests,...


  • Phoenix, United States New Arizona Family Full time

    Position Title : Senior Compliance Analyst Exempt Status : Non Exempt- Hourly Reports to : Chief Compliance Officer Location : Tyler Operations (In-Office) Summary of the Job : Assist Chief Compliance Officer with daily compliance duties and serve as back-up for other Compliance Department employees. The Compliance Department Analyst is responsible for...


  • Phoenix, United States State of Arizona Full time

    INDUSTRIAL COMMISSION **COMPLIANCE SAFETY HEALTH OFFICER** Job Location: Address: Arizona Department of Occupational Safety & Health/Safety Compliance Section 800 W. Washington Street, Phoenix, 85007 **Salary**: $57,542.00 Grade: 20 Closing Date: May 15, 2024 Job Summary: Compliance Safety Health Officers will work under general supervision in...


  • Phoenix, United States BOK Financial Full time

    Req ID: 74637 Location: Phoenix -PHOE, Gilbert -GILB, Mesa -MESA, Scottsdale -SCOTT, Tempe -TEMP Areas of Interest: Wealth Management Pay Transparency Salary Range: Not Available Application Deadline: 07/31/2024 BOK Financial, Headquartered in Tulsa, Oklahoma, BOK Financial Corporation (NASDAQ: BOKF) is a top U.S.-based financial services holding company...

  • Wealth Advisor

    1 month ago


    Phoenix, United States The Judson Group Full time

    Reference Number: HRJ7502 Location: Phoenix, Arizona Judson Group has partnered with a $8B+ AUM RIA with a national presence in the search for a Wealth Advisor . This individual will be taking over existing client referral channels, helping grow the firm, and will have a long-term leadership/opportunity. The ideal candidate will have experience handling...


  • Phoenix, United States BOK Financial Full time

    Req ID:74637 Location: Phoenix -PHOE, Gilbert -GILB, Mesa -MESA, Scottsdale -SCOTT, Tempe -TEMP Areas of Interest: Wealth Management Pay Transparency Salary Range: Not Available Application Deadline: 07/31/2024 BOK Financial, Headquartered in Tulsa, Oklahoma, BOK Financial Corporation (NASDAQ: BOKF) is a top U.S.-based financial services holding company...

  • Office Manager

    5 days ago


    Phoenix, United States Altus Ace Management LLC Full time

    Summary The Office Manager provides high-level administrative support to company executives by conducting research, handling information requests and performing clerical functions such as preparing correspondence, receiving visitors, arranging conference calls and scheduling meetings for executives. The Executive Assistant/Office Manager position is...

  • Office Manager

    3 days ago


    Phoenix, United States Altus Ace Management LLC Full time

    Job DescriptionJob DescriptionSummary The Office Manager provides high-level administrative support to company executives by conducting research, handling information requests and performing clerical functions such as preparing correspondence, receiving visitors, arranging conference calls and scheduling meetings for executives. The Executive...


  • Phoenix, United States Charles Schwab Full time

    Position Type: RegularYour opportunityAt Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together. Schwab’s Wealth & Advice Solutions (WAS) organization offers industry-leading wealth management services. The...

  • Office Manager

    2 weeks ago


    Phoenix, United States West Coast Partitions Full time

    West Coast Partitions is a leading commercial construction company specializing in interior and exterior drywall installations. We have established ourselves as a trusted name in the industry, delivering high-quality construction solutions to clients across the West Coast region. With a commitment to excellence and a focus on customer satisfaction, we...

  • Office Manager

    3 weeks ago


    Phoenix, United States Women's Health Arizona Full time

    Job DescriptionJob DescriptionDescription:The Office Manager will be responsible for managing office staff, coordinating administrative functions, and ensuring efficient and effective office operations. The ideal candidate will have strong leadership skills, excellent organizational abilities, and a background in healthcare...


  • Phoenix, United States Arizona Department of Administration Full time

    Sr Procurement Compliance Manager Job No: 525956 Work Type: Full-time Location: REMOTE OPTIONS, PHOENIX Categories: Purchasing/Contracting/Procurement, Management/Supervisor DEPT OF ADMINISTRATIONDelivering results that matter by providing best in class support services.Sr Procurement Compliance ManagerJob Location: State Procurement Office (SPO) This...


  • Phoenix, United States Arizona Official Website of State of Arizona Full time

    Job Summary: The Arizona Department of Administration (ADOA), State Procurement Office (SPO) is seeking a Senior Procurement Compliance Manager. This key position ensures adherence to Arizona Procurement Code and related statutes, managing statewide procurement compliance as authorized. Responsibilities include maintaining delegations of authority,...


  • Phoenix, United States Best Litigation Injury Law, LLC Full time

    We are currently seeking a skilled Fractional CFO to primarily work within a family office, overseeing the financial affairs of the law firm owners and manage the financial aspects of their law practice. As the Fractional CFO for the law practice you will play a pivotal role in managing the financial affairs of the owners and overseeing the high-level...