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Sr Compliance Officer

Type de contrat

Full-time

Localisation

United States-California-San Ramon

Métier / fonction

Compliance

Réference

038336

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

This is a 2nd Line of Defense BSA/AML Compliance position primarily responsible for partnering with Business Units during the CAC (Client Acceptance Committee) process, advising, monitoring and challenging core BSA/AML compliance program components; ensuring compliance with regulatory risks; and managing risk in a transparent manner.

The selected candidate will be a member of the CAC, and supports other team members in their reviews and decisions for the onboarding of high risk clients.

 

Essential Job Functions

·         Act as the 2nd line of defense BSA/AML compliance representative in CAC meetings.

·         Provides guidance on money laundering, terrorist financing, and sanctions risk to CAC members and first line of defense, and makes informed decisions on accepting or maintaining client relationships.

·         Reviews and advises on BSA/AML compliance-related training materials and line of business procedures to ensure content alignment to corporate policy.

·         Supports the team manager in designing a streamlined process for addressing requests from the first line of defense for approval on high risk customers.

·         Supports the team manager, and acts as a backup for all KYC and other BSA/AML related requirements.

·         Collaborate with other teams with the Program team including the Risk Assessment, Policy and the Compliance Monitoring Standards team (“CMS”).

·         Assists with reviews new KYC policies from the Parent Bank or changes to existing policies to ensure alignment.

·         Partners with the policy team in communicating changes to existing policies to business partners as required to assess impact on existing processes and procedures.

·         Support the management team in addressing audit findings and corrective actions as assigned.

 

Other Job Duties

·         Performs special projects regarding Bank BSA/AML compliance activities which may result in in-depth studies and analysis, including the preparation of Board level presentations.

·         Participates in assessing compliance implications for new product, service and systems development.

·         Assists in preparation for regulatory examinations.

·         Collaborate with other teams across the BSA Administration and Compliance IT as necessary.

·         Performs other duties as assigned.

 


 

Required Experience

·         Prior experience working with regulatory agencies, including FDIC.

·         5-7 years’ experience in BSA/AML and KYC.

·         Experience working at a Bank or other financial institution.

·         Experience reviewing high risk customer files and performing EDD.

·         Experience in drafting policies and procedures, in addition to performing policy and procedure gap assessments as required.

 

Education

·         Bachelor's Degree

·         CAMS certification a plus, but not required.

 

 

Skills

·         Self-starter, motivated, and eager to learn and take on challenging tasks.

·         Strong communication and collaboration skills, including the ability to work effectively with others at all levels across the organization

·         Strong knowledge of general banking with an understanding of deposit, lending and alternative investment products

·         Strong knowledge of BSA/AML laws and regulations.

·         Strong interpersonal skills for coordination/liaison functions.

·         Strong writing skills for composition of reports.

 

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.

 

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