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Commercial & Wealth Management – Compliance Testing Manager

Postuler REF: 049696

At Bank of the West, our people are having a positive impact on the world. We’re investing where we feel we can make the most impact, like advancing diversity and women entrepreneurship programs, financing for more small businesses, and promoting programs for sustainable energy. From our locations across the U.S., Bank of the West is taking action to help protect the planet, improve people’s lives, and strengthen communities. We are part of BNP Paribas, a global leader supporting the UN Sustainable Development Goals (SDGs). Yes, we’re a bank, but as the bank for a changing world, we are continually seeking to improve the ways we help our customers, while contributing to more sustainable and equitable growth.

 

Position Summary

Responsible for leading an effective independent and testing program for the Commercial & Wealth Management Business sector. Acts as a Level 2 Compliance Testing expert resource for consumer based regulations/laws.  Leads a team of Testing professionals in executing and effective Testing program.   Responsible for supervising a team of Testing professionals who perform and document assigned compliance testing processes related to Commercial & Wealth Management regulatory obligations as well as the communication and resolution of findings and other related issues.  Identifies best practices, anticipates and implements changes to the testing plans as a result of changes in the Bank’s business environment including regulatory changes. Helps to coordinate work with internal and external auditors and regulators as necessary. Analyzes the testing methodology to identify patterns and trends, and communicates with management to ensure that risks are adequately identified and addressed. Works with business units to ensure Domain controls are effective enterprise-wide. 


Position Accountabilities

  • Implement and maintain an ongoing compliance independent testing program at the Bank  to assess and review compliance with Commercial, Wealth, Trust and Private Banking business practices, risk/controls, regulatory and internal firm policy requirements;

  • Utilize  the Compliance Risk Assessment results to contribute to key compliance activities, including but not limited to: the Annual Compliance Plan, Compliance Testing Plans, and corrective action plans to remediate noted control deficiencies, as appropriate;

  • Coordinate and work with multiple stakeholders including other Compliance Testing professionals and Domain specialty groups to promote consistent best practices, testing and sampling methodologies and standards;

  • Develop compliance testing programs/testing plans for specific business units and products based upon the risk assessment process and applicable laws, regulations and internal policies.

  • Prepare and distribute reports to senior management detailing review findings and recommendations.

  • Periodically report on significant activities conducted and planned for the upcoming period.

  • Ensure that all findings and recommendations are entered into the GRC Tool and tracked through remediation.

  • Maintains working knowledge of regulatory requirements, relative business enterprise-wide actives and consumer compliance industry practices and issues. 


Required Education or Equivalent Experience

  • Bachelor’s Degree in Business Administration or related field Required
  • Series 7, 63 or 65, and 24 required
  • Certified Fiduciary and Investment Risk Specialist (CFIRS)
  • Certified Trust and Financial Advisor (CTFA)
  • Certified Internal Auditor (CIA), CRCM, CAMS or equivalent audit/compliance certification preferred  

Required Experience

  • 8 years of functional/professional experience combined in Banking/Broker-Dealer/Investment Adviser/Compliance/Audit/Risk Management/Regulatory
  • 5 years of supervisory or managerial experience
  • Alternative: Combination of education and experience (years /description) 10 + years QA/Testing experience with professional certification in lieu of 4 year degree
  • Strong compliance knowledge and experience with FINRA registered broker-dealer and SEC registered Investment Adviser; and other compliance experience in private banking and trust in wealth management
  • Planning, Execution and Reporting for FINRA Branch examinations covering Registered Supervisory OSJ Offices, non-OSJ registered Branches,  Wealth Management registered offices and Rep-based inspections
  • Working Knowledgeable of Alphabet Regulations, Home Mortgage Disclosure Act, Fair Credit Reporting Act, Servicemembers Civil Relief Act, Flood Insurance Requirement; commercial banking activities,  cash management, equipment financing, real estate infrastructure.   

Administrative/Technical Skills/ Other Information

  • Strong knowledge of general banking and/or broker dealer/investment adviser with an understanding of deposit, lending and investment products;
  • 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  
  • 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  

Level Supervised

  • Will supervise a team of three or more Professional Staff


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: 049696