Bank of the West Compliance Testing Officer in Cedar Rapids, Iowa
Compliance Testing Officer
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.
Seasoned professional contributor responsible for performing “audit-like” testing that Bank of the West (BOW) and its subsidiary Banc West Investments Services (BWIS) comply with 1) United States of America, 2) BNP Paribas, and 3) BOW requirements related to multiple compliance practices (Consumer, Wealth Management). 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. May be responsible for providing guidance, coaching and training to other employees within job area. May manage projects requiring the responsibility of delegating work and reviewing resulting work product. Communicates with parties within and outside of own job function. Adapts well to and embraces change.
Independently performs assigned testing activities under the supervisor of Sr. Compliance Tester and/or Compliance Testing Manager guidance.
Performs assigned testing activities within budgeted project hours including cross team engagements and adheres to established timelines for testing assignments.
Performs testing activities accurately, thoroughly, and following work paper protocols in accordance with the BOW Compliance Independent Testing Standard, Operations Manual, Generic Controls Points/Fundamental Monitoring Points requirements, and the Combined US Operation/Intermediate Holding Company Compliance Testing Standards.
Adheres to the established service level agreements, and any promised timelines in order to provide high value service to business partners.
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.
Education Required Education or Equivalent Experience
Bachelor’s Degree required
Certified Internal Auditor (CIA) or equivalent audit/compliance certification preferred
- 5 - 7 years of experience in banking or other financial institution setting, with a focus on enterprise risk management, compliance risk management, or Internal Audit;
Desired Experience and Attributes
Strong knowledge of general banking with an understanding of Alphabet Regulations, deposit, lending and investment products;
A working knowledge of the Consumer and Wealth Management Regulations and laws
Familiarity with corrective action and other control remediation process;
Strong writing and comprehension skills;
Independent worker; ability to multi-task and work in a fast-paced environment;
Strong interpersonal skills for coordination/liaison functions;
Proficiency with Microsoft Office Products Word, Excel, PowerPoint;
Working knowledge of data analytics tool (i.e. ACL) preferred but not required;
Ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines;
Team player and ability to work collaboratively
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.
Location: United States-Texas-General TX
Other Locations: United States-Texas-Dallas, United States-North Dakota-Fargo, United States-Iowa-Cedar Rapids, United States-Arizona-Tempe
Requisition ID: 058812