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Sr. Compliance Officer – Regulatory Change Management

Postuler REF: 059208

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.

Job Description Summary


This is a 2nd Line of Defense  position within Compliance Program Team that is responsible for partnering with 1st and 2nd LOD teams within IHC, supporting Bank of the West and CIB. This position is responsible for identifying and monitoring regulatory changes applicable to operating entities.  

Essential Job Functions

  • Monitor, analyze and communicate Regulatory Developments promulgated by U.S. and European financial regulators (in conjunction with Legal and the BNPP Regulatory Watch process);
  • Communicate applicable Regulatory Developments to 2LOD for analysis and 1LOD for implementation.
  • Tracking and reporting of assigned items to impacted units, management teams and various committees.
  • Partners with legal colleagues’ when/if necessary to determine applicability of certain items.
  • Leads and oversees the integrity of the Regulatory inventory for each operating entity.
  • Assists management with maintaining and updating Consolidated Regulatory Inventory for the Americas.
  • Review and amend (if necessary) applicable RCM procedures and standards documents on an annual basis.

Other Job Duties

  • Partners with other teams within the larger Program on building the processes to ensure connections between the teams (RICM – Policy Governance, Monitoring, Risk Assessment, Training)
  • Provides input in design of business management information (MI) reporting to incorporate sub function compliance risk metrics, monitors metrics and escalates matters as appropriate.
  • Assists in preparation for regulatory examinations, advises on remediation and Action Plan design to address regulatory finding and advises on timely remediation efforts of the regulatory issues.
  • Collaborates on tools to support the RICM and other compliance functions, such as SharePoint or third party vendor implementation.
  • Reviews and align local procedures to IHC and Group.
  • Performs other duties as assigned.

Required Experience

  • Prior experience working with regulatory agencies, including OCC, FDIC, CFPB, SEC, MSRB, FINRA or state agencies.

Work Experience

  • 5yrs compliance, risk, internal audit, or regulatory experience in the banking industry

Skills

  • Ability to work independently, think outside the box and contribute creative ideas to enhancing/creating process.
  • Strong communication and collaboration skills, including the ability to work effectively with others at all levels across the organization
  • Working knowledge of general banking with an understanding of Retail, Commercial, Wealth Management, broker-dealer products and services.
  • Ability to learn quickly, manage projects and drive/achieve results.
  • Strong time management, project management and an independent operator.
  • Interpersonal skills for coordination/liaison functions.
  • Strong writing skills

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-California-San RamonJob Type: Full-timeJob: Compliance Reference: 059208