The bank for a changing world

We are looking for

Controls & Governance Officer-Processing/Excel Background

Apply REF: 049484

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

Responsible for ensuring that the assigned business unit policies, procedures and practices align with BotW 2nd line of defense Op Risks and Compliance requirements and providing challenge for continuous enhancements of the BU 1st line of defense set-up. Acts as a resource for Level 2 Control questions and issues arising from operations procedures, monitoring of operational risk functions.

Essential Job Functions

  • Executes QA reviews to validate effectiveness and efficiency of Business Line internal controls. Includes independent testing, documentation, objective evaluation, verbal discussion and reporting.
  • Under general supervision execute monitoring activities associated with an independent control function. Ensures activities are performed accurately, thoroughly, and in accordance with dynamic regulatory, operational risk requirements, and/or industry best practices; and activities meet timeframe standards.
  • Manages own work assignments under general supervision to complete QA reviews/projects as assigned.
  • Recommends improvements to the Business Line Regulatory Compliance and Monitoring Programs. Assists the Business Line in determining Root Cause Analysis, Remediation and filing Self-identified Issues.
  • Participates as requested in Business Line meetings and/or work groups.
  • Identifies, researches, and reports issues to QA Management to resolve as appropriate.
  • Effectively contributes in implementing new QA policies and procedures.
  • Prepares and distributes monthly and quarterly QA Reports and conducts closing conferences with various business partners.
  • Maintains current knowledge of related lending activities, and operational risk management and regulatory compliance requirements for financial institutions.
  • Attends professional seminars and participates in Bank operational risk management and regulatory compliance forums.

Other Job Duties

  • Assists in developing, writing and maintaining QA department policies and procedures in support of the Bank's Integrated Operational Risk and Compliance Control Plan.
  • Assists with implementing new QA monitoring activities.
  • Performs other duties as assigned.

Required Experience

  • Requires knowledge of consumer lending typically obtained through advanced education combined with experience.
  • May have practical knowledge of project management.
  • Requires 5 years minimum prior relevant experience.


  • Proficient in Excel and other Microsoft Office Programs
  • Experience in developing, writing, and communicating policies and procedures.
  • Prior audit or regulatory experience preferred
  • Knowledge of lending operational risk management and compliance.
  • Strong knowledge of banking and lending related laws and regulations.
  • Knowledgeable about Consumer Lending industry best practices. 
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 l
Primary Location: United States-California-San RamonJob Type: Full-timeJob: Compliance Reference: 049484