Bank of the West Sr Controls & Governance Officer in San Ramon, California

Sr Controls & Governance Officer

Description

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.

Job Description Summary

Responsible for taking a lead role in ensuring that the assigned business unit policies, procedures and practices align with BoW 2nd line of defense Op Risks and Compliance requirements and providing challenge for continuous enhancements of the BU 1st line of defense set-up.

Essential Job Functions

  • To support Controls and Governance (C&G) First Line of Defense activities focused on Client Acceptance Committee (CAC), Bank Secrecy Act (BSA) and Corporate Social Responsibility (CSR) Implementation, Reg W, Gifts and Entertainment, and Training.

  • Position will also help support Regulatory, Audit, CIT, and Self-Identified Issues and findings for first line guidance.

  • To work with the assigned Business Group affected by changing laws, regulations or policies to ensure that appropriate changes are implemented

  • To support the assigned Business Group to respond to Regulatory / Audit inquiries and coordinate evidence gathering

  • To coordinate the risks identification and action plan follow-up

  • To coordinate the production and distribution of processes, procedures/policies and make sure of their compliance with 2LOD requirements and BNPP as well

  • To coordinate the performance of controls and, if required, to perform testing

  • To coordinate and promote the identification and recording of historical operational risk incidents

  • To contribute to any Compliance, Internal Control and Operational Risk statement/reporting

Other Job Duties

  • To identify and report/escalation alerts on issues related to Compliance, Operational Risk and Permanent Control

  • To work in close collaboration / Liaise with Compliance, Op Control and Audit team – and contribute to 1st LOD governance structure

  • Disseminates all Compliance information and requirements

  • Performs other duties as assigned.

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Qualifications

Required Experience

  • Requires deep knowledge of job area typically obtained through advanced education combined with experience.

  • Typically viewed as a specialist within discipline.

  • May have broad knowledge of project management.

  • Requires 7 years minimum prior relevant experience.

Education

  • Bachelor's Degree Business Administration or related field

Skills

  • To be the main point of contact and interface in CBG for 2LOD, 3LOD and Reg Relations regarding the management of all audits and their related issues/findings.

  • To work directly with CBG 1LOD Head in assisting him on various regulatory, risk or other projects as needed.

  • To coordinate and support Business Groups in managing their issues and findings, whether self-identified or assigned by internal or external parties.

  • To work with the assigned Business Group affected by audit results to ensure that appropriate responsible parties are identified and that remediation plans are implemented by the agreed upon due dates.

  • To support the assigned Business Group to respond to Regulatory / Audit inquiries and coordinate evidence gathering.

  • To coordinate and promote the identification and recording of self-identified issues.

  • To identify and report/escalation alerts early enough on any findings or issues that bear the risk of being remediated late or not being remediated satisfactorily.

  • To work in close collaboration / Liaise with Compliance, Risk, Audit and Reg Relations teams, and contribute to 1st LOD governance structure, organization and efficiency regarding the management of issues and findings.

  • Performs other duties as assigned.

CBG: Church Lending

  • Strong knowledge of commercial lending policies and procedures

  • Strong knowledge of commercial loan operations

  • Strong knowledge of Bank products, including loans, deposits, capital markets, etc.

  • Ability to work independently in a fast-paced environment

Equipment Finance:

  • Strong knowledge of commercial leasing

  • Strong knowledge of laws specific to commercial leasing

  • Strong knowledge of operational risk assessment and monitoring

  • Act as EFD liaison to the CBG Basel team (WMG)

  • Previous financial services industry experience preferred

  • Ability to resolve problems and make rule-based decision

HR

  • Technical skills : Risk culture

  • Understanding of regulatory and internal control aspects

  • Understanding the bank organization and governance Control skills

  • Ability to analyze and synthetize data

  • General knowledge of Compliance, Operational Risk and Permanent Control

  • General knowledge of HR would be a plus

  • Data analysis skills set

  • Core competencies: Discretion / Confidentiality culture

  • Risk management capacities

  • Analytical skills

  • Rigour and accuracy

  • Competence for synthesis

  • Capacity to report and inform

  • Ease for communication

  • Collaborative approach

CBG Controls & Governance team (1LOD)

  • Responsible for taking a lead role in assisting CBG and all its businesses to ensure that all the issues and findings assigned to CBG and its business units, whether internally or by outside parties, are properly identified, accepted, recorded, monitored and remediated by the due dates, in coordination with all issue/finding owners in CBG. To be the main point of contact and interface in CBG for 2LOD, 3LOD and Reg Relations regarding the management of all audits and their related issues/findings. To work directly with CBG 1LOD Head in assisting him on various regulatory, risk or other projects as needed.

  • To coordinate and support Business Groups in managing their issues and findings, whether self-identified or assigned by internal or external parties.

  • To work with the assigned Business Group affected by audit results to ensure that appropriate responsible parties are identified and that remediation plans are implemented by the agreed upon due dates.

  • To support the assigned Business Group to respond to Regulatory / Audit inquiries and coordinate evidence gathering.

  • To coordinate and promote the identification and recording of self-identified issues.

  • To identify and report/escalation alerts early enough on any findings or issues that bear the risk of being remediated late or not being remediated satisfactorily.

  • To work in close collaboration / Liaise with Compliance, Risk, Audit and Reg Relations teams, and contribute to 1st LOD governance structure, organization and efficiency regarding the management of issues and findings.

  • To Support Controls and Governance (C&G) First Line of Defense activities focused on Client Acceptance Committee (CAC), Bank Secrecy Act (BSA) and Corporate Social Responsibility (CSR) Implementation, Reg W, Gifts and Entertainment, and Training.

  • Position will also help support Regulatory, Audit, CIT, and Self-Identified Issues and findings for first line guidance.

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: Human Resources

Location: United States-California-San Ramon

Other Locations: United States-Arizona-Tempe

Requisition ID: 040654