Bank of the West Senior Audit Leader (Inspection and Regulatory Recommendation Validation) in San Ramon, California

Senior Audit Leader (Inspection and Regulatory Recommendation Validation)


What sets Bank of the West apart from other banks is our team members–they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of more than 10,000 employees is vital to the success of our Bank. They reflect our modern western values—straightforward, entrepreneurial and optimistic. We seek to create a corporate culture that fosters and rewards excellence, encourages creative thinking and respects diversity – an environment where team members are engaged, supportive of one another and enthusiastic about serving our customers. Bank of the West offers the stability of a company that has a 135 year history and is part of BNP Paribas, a European leader in global banking and financial services and one of the 6 strongest banks in the world. We offer opportunities across our diverse business lines – Retail Banking, Commercial Banking, National Finance, and Wealth Management.

Senior Audit Leader , Regulatory and Inspection Finding Validation

Job Description Summary

The Inspection Group, as the Bank’s periodic control function (i.e., third line of defense), independently assesses the effectiveness of the permanent control function (i.e., first and second lines of defense) to identify, measure, monitor, and control risks.

The Senior Audit Leader is primarily responsible for the monitoring, tracking, coordination, and validation of recommendations that are the result of regulatory and Inspection (internal audit) findings for Trust/Wealth Management; Consumer Compliance; and BSA/AML/OFAC. The Senior Audit Leader will also actively participate in the review management remediation plans and key points for closure to provide assurance that the items are sufficiently clear and suitably mitigate the risks, and can be effectively validated upon completion. While the role is responsible for completing the necessary audit procedures to assess the suitability and sufficiency of management remediation actions, at times, the technical nature of certain findings or the number of concurrent closures requested may require contribution with other team members.

Essential Job Functions

1. Monitors, tracks, coordinates, and validates recommendations that are the result regulatory and Inspection findings, especially surrounding Trust/Wealth Management; Consumer Compliance; and BSA/AML/OFAC .

2. Assure that audit procedures and related documentation to support closure of these recommendations are sufficiently and suitably detailed; and provide a clear written trail that supports the conclusion.

3. Strong written and verbal communication skills with an ability to influence.

4. Reviews the suitability and sufficiency of management remediation plans and key points for closure.

5. Performs other duties as assigned.




· Bachelor’s Degree in applicable and related field - Required

· Required License(s) or Certifications in CIA, CISA, CPA, CAMS, and/or CRCM - Preferred

· Requires mastery level knowledge of job area typically obtained through advanced education combined with experience. May have deep knowledge of project management.

· Requires 10 years minimum prior relevant experience.

· Primary focus of role is on day-to-day deliverables, developing solutions based upon subject expertise, and occasionally representing the department at a broader level.

· Maintains current on industry developments affected areas of assigned responsibilities.

· Extensive work experience with Trust/Wealth Management; Consumer Compliance; and/or BSA/AML/OFAC.

Equal Employment Opportunity Policy

Bank of the West is an Equal Opportunity employer and proud to provide equal employment opportunity to all job seekers without regard to any status protected by applicable law. Bank of the West is also an Affirmative Action employer - Minority / Female / Disabled / Veteran.

Bank of the West will consider for employment qualified applicants with criminal histories pursuant to the San Francisco Fair Chance Ordinance subject to the requirements of all state and federal laws and regulations.

Job: Audit

Location: United States-California-San Ramon

Requisition ID: 036635