FIRMA^™

The Fiduciary & Investment Risk Management Association, Inc.

Member Resources

Career Opportunities

FIRMA offers to the trust audit and compliance industry a unique resource of expertise and insight to existing trust audit and compliance practices and standards of performance. FIRMA has the opportunity to develop standardized trust audit procedures as well as position papers on compliance risks and audit challenges of new trust products/ services and investment vehicles. FIRMA can also offer guidelines to financial institutions for establishing and maintaining a professional trust audit and compliance staff.

Vice President, Trust & Investments

Posted: February 11, 2008

Westwood Trust

Vice President, Trust & Investments

Dallas, Texas

New Business Development

Identify prospective clients
Develop referral source network

Client Service

Maintain ongoing relationship with clients

The candidate will be responsible for prospecting, acquiring new client relationships, and growing existing client relationships. The focus is to acquire new clients for Westwood Trust and increase assets under management from existing clients.

New Business Development:

Develop external referral sources/networks to prospect for new clients, screen to identify attractive opportunities, and lead meetings to close business. Work with team members to uncover opportunities to expand existing client relationships. Successfully present ideas/strategies/solutions to centers of influence, qualified prospects and existing clients. Obtain referrals from existing clients.

Client Service:

Provide on-going, timely information on client performance portfolio construction, asset allocation & topics of interest. Participate with team members to conduct meetings with clients. Target client relationships with higher revenue growth opportunity to build strategies for additional business and/or focuses on more complex, high revenue relationships to ensure client satisfaction and preservation of existing revenue. Serve as key resource/mentor and functional expert to team members.

Education / Training:

BS/BA with emphasis in Business Administration, Finance or Economics strongly preferred. Advanced college degrees (i.e. MBA) preferred, Professional Certifications (i.e. CPA, CFP, CTFA, CFA) a plus.

Experience:

Ten or more years sales/client service experience in financial services industry.

Skills And Abilities:

Ability to generate leads, prospect for opportunities, network for introductions. Should possess highly effective personal presentation and problem solving skills as well as broad knowledge of financial markets and wealth management strategies. Should be highly ethical, enthusiastic self-starter with organized, disciplined, well planned sales process. Appropriate working knowledge of necessary technology and tools (e.g. Microsoft Office, CRM systems)

To apply, e-mail Nora Donnelly at ndonnelly@westwoodgroup.com and include a copy of your resume.

Vice President for Compliance and Fiduciary Review

Posted: February 6, 2008

Unified Trust Company, N.A.

Vice President for Compliance and Fiduciary Review

Lexington, Kentucky

Unified Trust Company, N.A., a nationally chartered trust company specializing in retirement plans and personalized money management, is seeking qualified applicants for the Vice President for Compliance and Fiduciary Review

FUNCTION:

The Vice President for Compliance and Fiduciary Review (“VP-CFR”) is responsible for compliance of all laws, regulations, fiduciary best practices, fiduciary issues, ERISA regulations, advertising issues, and business relationships as they pertain to Unified Trust Company. Essentially they will oversee the “Five Factors” of compliance (business, fiduciary, ERISA, securities, and advertising)

The VP-CFR will advise the Board of Directors, Senior Management and Unified Trust personnel of emerging compliance issues. The VP-CFR will consult and guide Unified Trust in the establishment of controls to mitigate risks. They will ensure department activities run smoothly and efficiently by providing leadership, training and supervision. They will also serve as a conduit with corporate legal counsel to maintain proper contractual documents, and shall serve as the Unified Trust Company spokesperson with legal counsel when compliance issues arise.

EDUCATION AND EXPERIENCE REQUIREMENTS:

• Bachelor’s Degree required; Legal or accounting degree preferred.

• Financial services experience; trust/banking fiduciary environment experience

industry preferred.

• Professional certification commonly accepted among compliance professionals.

Certified Trust Auditor (CTA), Certified Trust Compliance Professional (CTCP) or

Certified Fiduciary and Investment Risk Specialist (CFIRS) designations are

preferred.

• Strong ability to work with Microsoft Word, Excel, and Outlook.

• Strong interpersonal, sales and relationship management skills.

• Strong written, verbal and presentation skills.

Please submit resume to angela.brown@unifiedtrust.com or by fax to 859-514-6174.

Audit Manager - New York

Posted: February 5, 2008

INVESCO

Audit Manager

New York

Job Description:

SUMMARY DESCRIPTION: The Audit Manager will coordinate execution of the audit plan for their area of responsibility, as defined by the Regional Director. The Audit Manager will perform portions of the audit work, supervise and review work performed by any staff auditors or third party contractors and present audit results and recommendations to management. The Audit Manager is also responsible for providing objective assurance and consulting services by evaluating and improving the effectiveness of risk management control and governance processes and monitoring compliance with existing financial and operational controls. PRIMARY DUTIES/RESPONSIBILITIES: Coordinate analysis of risk in areas of assigned audit responsibility and prepare proposed internal audit plans based on the results of the risk analysis. Schedule planned audits and coordinate planning for specific audits with customers. Conduct planning and risk analysis for specific audits and prepare audit programs and approaches that meet the objectives of those audits. Perform audit work and supervise the performance of work by any assigned staff or contractors, including reviewing workpapers, documenting control weaknesses or inefficiencies and managing the completion of the audit within the given timeframe. Prepare audit results and conduct exit meetings to obtain management concurrence and responses. Prepare audit reports and clear those reports with audit customers prior to issuance. Keep Regional Director and departmental CAO informed of audit activities. Assist in training and development of team members by providing on the job coaching, delivering constructive and motivating feedback, and participation in the performance management process. Perform other duties and special projects as assigned by the Regional Director. Train, facilitate and consult with process owners to enable the business to manage their Governance, Risk and Compliance (GRC) responsibilities using BWise. Actively contribute to developing a culture of risk awareness throughout the organization.

Job Qualifications:

FORMAL EDUCATION (minimum requirement to perform job duties): Bachelors degree in Accounting or Finance preferred. Other business related degrees considered depending upon relevant experience. MBA a plus. LICENSE/REGISTRATION/CERTIFICATION (minimum): CPA, CA, CIA, CFIRS/CTA or CISA preferred. WORK EXPERIENCE: Minimum of 5 to 8 years of audit experience, including acting in the capacity of a supervisor. Combination of public accounting experience (prefer Big 4) and internal auditing experience preferred. Strongly prefer experience within the asset management, securities or banking industries. SKILLS: Excellent written and verbal communication skills. Self starter. Must be able to work without frequent direct supervision. Results-oriented. Comfortable as an individual contributor on certain assignments. Pro-active problem solver with the ability to thoroughly identify and investigate issues and determine the appropriate course of action. Work through contentious issues with customers in a non-confrontational style. Ability to handle confidential information and communicate clearly with individuals at a wide range of levels on sensitive matters. Excellent analytical skills. Excellent project management and administrative skills. Excellent supervisory, relationship management and team building skills. Demonstrated ability to work in a diverse, cross-functional and international environment. Comfortable with changing environment. Adaptable. Potential for domestic and international travel of 30%.

EOE

Please send resume along with salary requirements to NYHRResumes@Invesco.com

Audit Manager - Boston

Posted: February 5, 2008

INVESCO

Audit Manager

Boston

Job Description:

Job Qualifications:

FORMAL EDUCATION (minimum requirement to perform job duties): Bachelors degree in Accounting or Finance preferred. Other business related degrees considered depending upon relevant experience. MBA a plus. LICENSE/REGISTRATION/CERTIFICATION (minimum): CPA, CA, CIA, CFIRS/CTA or CISA preferred. WORK EXPERIENCE: REGULATION 9 AND TRUST EXPERIENCE ABSOLUTELY ESSENTIAL. NO CANDIDATES WILL BE CONSIDERED WITHOUT THIS EXPERIENCE CLEARLY EVIDENT. Minimum of 5 to 8 years of audit experience, including acting in the capacity of a supervisor. Combination of public accounting experience (prefer Big 4) and internal auditing experience preferred. Strongly prefer experience within the asset management, securities or banking industries. SKILLS: Excellent written and verbal communication skills. Self starter. Must be able to work without frequent direct supervision. Results-oriented. Comfortable as an individual contributor on certain assignments. Pro-active problem solver with the ability to thoroughly identify and investigate issues and determine the appropriate course of action. Work through contentious issues with customers in a non-confrontational style. Ability to handle confidential information and communicate clearly with individuals at a wide range of levels on sensitive matters. Excellent analytical skills. Excellent project management and administrative skills. Excellent supervisory, relationship management and team building skills. Demonstrated ability to work in a diverse, cross-functional and international environment. Comfortable with changing environment. Adaptable. Potential for domestic and international travel of 30%.

EOE

Please send resume and salary requirements to NYHRResumes@Invesco.com

Trust Audit Officer

Posted: January 29, 2008

Reliance Financial Corporation

Trust Audit Officer

Atlanta, Georgia

Reliance Financial Corporation has an immediate opening for a Trust Audit Officer. The individual will be responsible for assisting in the completion of the annual audit plan designed by the general auditor and approved by the Audit Committee.

Reliance Financial Corporation is a privately held Atlanta-based diversified financial services and wealth management company with more than $60 billion in assets under management and administration. Reliance conducts business throughout the United States through its trust company (the largest independent trust company in the country) and brokerage offices, investment advisory, corporate finance and research subsidiaries and insurance agency offices.

JOB RESPONSIBILITIES:

Perform risk assessments of every function of the company.
Perform audit procedures based on the results of the risk assessments.
Draft formal reports outlining recommendations for operating and efficiency improvements.
Assist in Fiduciary Examinations of certain alliance partners.
Coordinate activities with the external accountants and the regulators during their examinations.
Make presentations to and interact with executive management and members of the Board of Directors on a regular basis.
Attend selected industry related schools and seminars.
Be involved in high priority special projects directly related to the success of the company.
Represent the Audit Division in the general auditor’s absence.

QUALIFICATIONS:

Bachelor’s degree in accounting/ finance or a related business field.
Three or more years of trust audit or trust compliance experience.

A related professional certification, CPA, CIA, CIFRS, CTA, or the willingness and ability to obtain such certification.
The ability to interact with all levels of management.
The ability to set priorities and work independently.
The ability to identify problems and provide solutions.
The ability to sell ideas to management.
The ability to think abstractly using quantitative and statistical concepts.
Effective communication skills, both verbal and written.

Please submit your resume to humanresources@relico.com or by fax @ 404-965-7313

EOE

FIRMA™