The bank for a changing world

We are looking for

Compliance Testing Officer

Contract

Full-time

Location

United States-Arizona-Tempe

Job function

Compliance

Reference

034826

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

 

Responsible as professional contributor confirming through ‘audit-like” testing of compliance controls in the business units.  Leads planning, test execution, reporting and remediation validation of compliance controls, and manages projects requiring the responsibility of delegating work and reviewing resulting work product. Works independently with limited supervision. Anticipates and implements changes to the testing plans as a result of changes in the Bank’s business environment including regulatory changes. Leads meetings with various business stakeholders for all phases of testing to communicate status and test results. Communicates with parties within and outside of own job function. Adapts well to and embraces change.   May be responsible for providing guidance, coaching and training to other employees within job area.

 

 

Position Accountabilities

 

·         Independently manages assigned testing and monitoring protocols, and develops risk-based testing activities under Compliance Testing Manager, and/or Head of Independent Testing guidance.

 

·         Leads and performs assigned testing activities within budgeted project hours including cross team engagements. Adheres to established timelines for testing and monitoring assignments. 

 

·         Leads and performs testing and monitoring activities accurately, thoroughly, and following work paper protocols in accordance with Compliance Monitoring and Testing Standard, Operations Manual, FMP (Fundamental Monitoring Points) requirements, and CUSO-IHC Standard. 

 

·         Adheres to Compliance Independent Testing Standards, Operational Procedures, established service level agreements, and any promised timelines in order to provide high value service to business partners. 

 

·         Leads and contributes to team process enhancements through sharing of innovative ideas.  Also, adapts to and executes process improvements timely.

 

·         Develops and maintains core technical and soft skills (e.g., systems, leadership, people management, planning and organizing, communication, job knowledge and problem solving).

 

·         Prepares and presents written information in a clear, concise, grammatically correct, and convincing manner.

 

·         Demonstrates and influences others with a positive attitude in the work place and accepts accountability.

 

·         Responds timely to internal or external requests for information, analysis and/or advisory testing services.

 

·         Achieve objectives within constraints.    

 


 

Required Education or Equivalent Experience

  • Bachelor’s Degree in Business Administration or related field Required
  • Any one of the following: Certified Internal Auditor (CIA), CRCM, CAMS or equivalent audit/compliance certification preferred  

Required Experience

 

  • Years of functional/professional experience: 3 - 5 yrs. combined in Banking/Compliance/Audit/Risk Management/Regulatory
  • Strong compliance knowledge and experience with banking regulations in lending and deposit for commercial business preferred; or other compliance experience in private banking and trust in wealth management.

 

Administrative/Technical Skills/ Other Information

  • Extensive experience with MS Office products including Word, Excel, Access, PowerPoint, Outlook, and Visio is required. 
  • Working knowledge of data analytics tool (i.e., ACL) preferred  

 

 

 

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