The bank for a changing world

We are looking for

Senior Audit II - Wealth Management and Trust

Contract

Full-time

Location

United States-California-San Ramon

Country

USA

Job function

Audit

Apply REF: 039450
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.

Senior Auditor II – Wealth Management/Trust

 

Position Summary

 

The Inspection Group, as the Bank’s periodic control function (i.e., third line of defense), independently assesses the effectiveness of the permanent control function (i.e., first and second lines of defense) to identify, measure, monitor, and control risks.  The Senior Auditor II – Wealth Management/Trust is primarily responsible for audit execution on Wealth Management/Trust administration and operations, but may be called upon to support other audits including, but not limited to, Corporate Compliance, Finance, and Bank Operation.

 

The individual will work closely with audit assignment team members to complete each phase of the audit. The individual will have regular interactions with team members, process / control owners, and management of business units. The Senior Auditor II will be reporting to a Senior Audit Manager of Compliance, Wealth Management, Retail, Finance and Operations.

 

Essential Job Functions

 

1.                  Demonstrates a strong ability to execute assigned audit procedures accurately, timely, and with minimal supervision.

2.                  Supports the Head of Assignment by assisting with audit scoping, planning, evaluating, and reporting.

3.                  Contributes to the completion of continuous monitoring activities for assigned auditable entities and escalates matters that may impact the timing of the next audit assignments.

4.                  Prepares and updates risk assessments for assigned auditable entities for supervisory review.

5.                  Validates the sufficiency and suitability of business corrective actions to address audit recommendations for supervisory review.

6.                  Exhibits effective written and verbal communication skills with all levels of management.

7.                  Possesses an understanding of audit, risk, compliance, banking, and/or product knowledge

8.                  Executes audit work in accordance with BNPP Inspection Generale and the Bank of the West Inspection Group policies and procedures.

 



Job Specifications

 

Education

Required Education or Equivalent Experience

  • Bachelor’s Degree in applicable and related field
  • Required license(s) or certification(s) CFIRS (Certified Fiduciary Investment & Risk Specialists) - in progress;  preferred:  CIA, CISA, CPA, and/or CRCM

 

Required Experience

  • Years of functional/professional experience: Minimum years of audit and/or Wealth Management/Trust administration and operations experience: Typically 4+ years

Administrative/Technical Skills/ Other Information

  • Primary focus of role is on day-to-day execution of assigned areas of audit responsibilities and demonstrates the ability to take on additional responsibilities.
  • Maintains current on industry developments affected areas of assigned responsibilities.
  • Demonstrable strengths in the following:

Trust Audit Activities

Common law and trust regulations; account administration (including ERISA requirements); operations; investment management; mutual funds (including SEC requirements); real estate; trust tax; financial reporting (including FDIC and state call reporting requirements, GAAP, and SEC requirements); related systems; etc.


    The above statements are intended to describe the general nature and level of work being performed.  They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified.

     

     

    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.

    Primary Location: United States-California-San Ramon Job Type: Full-time Job: Audit
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