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
This is a 2nd Line of Defense
Compliance position that is responsible for partnering with Enterprise Business
Units and 1st LOD Controls and Governance teams, advising, monitoring and
challenging core sub function compliance program components; ensuring
compliance with regulatory risks; managing risk in a transparent manner; and
monitoring the adequacy of controls.
- Advises and guides Enterprise
Business Units on AML regulatory, policy, and compliance process requirements
for compliance with new or existing regulations and best practices.
- Advises management on AML risk
assessment processes and provides guidance in design and development of
processes and controls to manage risks.
- Partners with business line team
members to ensure timely identification, mitigation, resolution and
reporting/escalation of existing and emerging AML compliance risks and issues.
- Provides expertise, oversight,
guidance, and advices on AML regulatory requirements that affect the Enterprise
Business Units and oversees the Business Unit compliance implementation
- Advises and consults on proposed new
products, services, and initiatives with regard to AML obligations and
corresponding compliance risks, and mitigating controls. Reviews/identifies
regulatory impact, and approves recommended controls.
- Advises Enterprise Business Units on
AML compliance requirements for customer facing communications materials and
provides review and approval of materials.
- Advises on the design of the
Enterprise Business Lines AML monitoring processes, monitors and challenges
execution of monitoring; assesses and identifies weaknesses, and escalates
issues as appropriate.
- Conducts periodic risk-based AML
and/or other regulatory monitoring to ensure that key sub function compliance
processes in the Enterprise Business Lines are conducted in a timely and
well-controlled fashion and provides reports as appropriate.
- Provides input in design of business
management information (MI) reporting to incorporate sub function compliance
risk metrics, monitors metrics and escalates matters as appropriate.
Reviews and advises on Enterprise Business
Lines sub function compliance-related training materials, assignments, and
Advises/provides recommendations on
complaint handling remediation and responses. Analyzes customer sub function
complaint data to determine control deficiencies and possible corrective action
required. Monitors complaints reporting for trends related to regulatory
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
Collaborates across the Compliance
community to synthesize and communicate a comprehensive view of compliance risk
to management, assists in the implementation of robust sub function compliance
- BS Degree; CAMS certification and/or
Broker-Dealer experienced preferred
- Prior experience working with
regulatory agencies, including OCC, FDIC, CFPB, SEC, MSRB, FINRA or state
- 7 Years of compliance, risk,
internal audit, or regulatory experience in the banking industry.
- 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/or alternative investment
- Strong knowledge of AML laws and
- Strong interpersonal skills for
- 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.
Primary Location: United States-California-San RamonJob Type: Full-timeJob: Compliance