The bank for a changing world

Chief Compliance Officer - BWIS Investment Advisory




United States-California-San Francisco

Job function




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

Serves as BancWest Investment Services Chief Compliance Officer for the Registered Investment Advisor. Oversees the Registered Investment Advisor (RIA) Compliance function.  Ensures BWIS has policies and procedures in place to efficiently and effectively comply with all rules and regulations. Responsible for managing the execution and coordination of the RIA compliance program.

Position Accountabilities

The BWIS Registered Investment Advisor Chief Compliance Officer provides primary oversight and supervision to the Wealth Management Group's advisory product offering.  Responsibilities include developing and maintaining policies and procedures and the overall design/maintenance of the advisory services compliance program.  Provides oversight of Wealth Management Group's investment advisory business, governed by the Investment Advisers Act of 1940 and various state regulatory authorities.   Other essential duties and skills/knowledge required for this job include:
◦Ability to provide daily monitoring and oversight of client portfolios and asset allocations to ensure general adherence to advice provided to clients, investment guidelines and/or client restrictions.
◦Ability to provide Registered Investment Advisor (RIA) Code of Ethics monitoring and oversight.
◦Ability to develop and maintain compliance policies and procedures for the Advisory Services product offering, including Investment Advisory Compliance Manual, Supervisory and Oversight Procedures, and the Registered Investment Adviser Code of Ethics.
◦Ability to review and approval advisory program sales literature, marketing materials and other communications; file with FINRA as necessary.
◦Ability to prepare and present annual SEC 206(4)-7 annual compliance testing and remediation report to senior management.
◦Ability to liaise with Bank Corporate Compliance Department to address and respond to any and all regulatory inquiries/examinations relating to the registered investment adviser.
◦Must have experience and ability to manage the annual Form ADV process.
◦FINRA Series 7, 24, and 66 (or 63 and 65)
◦Strong knowledge of bank/broker-dealer compliance
◦Compliance expertise in investment advisory wrap fee programs
◦Ability to read and interpret regulatory statutes and client guidelines
◦Strong Microsoft Excel and Microsoft PowerPoint skills
◦Strong written and verbal communication and inter-personal skills



Req Education or Equivalent Experience
·         Bachelor’s degree or equivalent combination of education and work experience
·         Juris doctorate preferred
Required Experience
·         10 – 15 years in Compliance of a Registered Investment Advisor
·         NASD Series 7, 24, 53, and 63
Field of Experience
·         Knowledge of NASD, SEC, State and Banking rules and regulations for a Registered Investment Advisor operating in a banking environment
Administrative/Technical Skills
·         Ability to work independently
·         Ability to meet deadline and workloads
·         Analytical and research skills
·         Attention to detail
·         Investment and Insurance product and service knowledge
·         Effective problem solving
·         Excellent verbal and written communication skills
·         PC Skills
·                 Planning and Organizational skills

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.