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Commercial & Wealth - Compliance Testing Officer

Postuler REF: 049701

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.


Position Summary:

Seasoned professional contributor responsible for performing “audit-like” testing that Bank of the West (BOW) and its subsidiary Banc West Investments Services (BWIS) comply with 1) United States of America, 2) BNP Paribas, and 3) BOW requirements related to commercial & Wealth compliance practices.  Works independently with limited supervision,   anticipates and implements changes to the testing plans as a result of changes in the Bank’s business environment including regulatory changes. May be responsible for providing guidance, coaching and training to other employees within job area.  May manage projects requiring the responsibility of delegating work and reviewing resulting work product. Communicates with parties within and outside of own job function. Adapts well to and embraces change. 


Position Accountabilities

  • Independently performs assigned testing activities under the supervisor of Sr. Compliance Tester and/or Compliance Testing Manager guidance.

  • Performs assigned testing activities within budgeted project hours including cross team engagements and adheres to established timelines for testing assignments. 

  • Performs testing activities accurately, thoroughly, and following work paper protocols in accordance with the BOW Compliance Independent Testing Standard, Operations Manual, Generic Controls Points/Fundamental Monitoring Points requirements, and the Combined US Operation/Intermediate Holding Company Compliance Testing Standards. 

  • Adheres to the established service level agreements, and any promised timelines in order to provide high value service to business partners. 

  • Contributes to team process enhancements through sharing of innovative ideas.  Also, adapts to and executes process improvements timely.

  • Develops and maintains core technical and soft skills (e.g., systems, leadership, people management, planning and organizing, communication, job knowledge and problem solving).

  • Prepares and presents written information in a clear, concise, grammatically correct, and convincing manner.

  • Demonstrates and influences others with a positive attitude in the work place and accepts accountability.

  • Responds timely to internal or external requests for information, analysis and/or advisory testing services.

  • Achieve objectives within constraints.    


Education Required Education or Equivalent Experience

  • Bachelor’s Degree required

  • Certified Internal Auditor (CIA) or equivalent audit/compliance certification preferred   

Required Experience

  • 5 - 7 years of experience in banking or other financial institution setting, with a focus on enterprise risk management, compliance risk management, or Internal Audit;

 Desired Experience and Attributes 

  • Strong knowledge of general banking with an understanding of Alphabet Regulations, deposit, lending and investment products;

  • A working knowledge of the Home Mortgage Disclosure Act, Fair Credit Reporting Act, Servicemembers Civil Relief Act, Flood Insurance Requirements, commercial banking activities,  cash management, equipment financing, real estate infrastructure. 

  • familiarity with corrective action and other control remediation process;

  • Strong writing  and comprehension skills;

  • Independent worker; ability to multi-task and work in a fast-paced environment;

  • Strong interpersonal skills for coordination/liaison functions;

  • Proficiency with Microsoft Office Products Word, Excel, PowerPoint;

  • Working knowledge of data analytics tool (i.e. ACL) preferred but not required;

  • Ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines;

  • Team player and ability to work collaboratively

  • Language skills - French and or Spanish preferred  but not required  


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.

Primary Location: United States-Nebraska-OmahaJob Type: Full-timeJob: Compliance Reference: 049701