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Bank of the West Investments and Capital Markets Compliance Advisory – Compliance Manager in San Francisco, California

Investments and Capital Markets Compliance Advisory – Compliance Manager


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.

Job Description Summary

Responsible for managing the execution and coordination of the compliance advisory sub function to influence Enterprise business line compliance with policies, laws, regulations, regulatory guidance, and self-regulatory organization rules that apply to sub function. The Manager position will oversee a specialized niche of regulatory expertise related to capital markets, swap dealing, alternative investments, and Volcker/French Banking Law.

Position Summary:

  • Provides a leadership role in providing compliance advisory oversight of assigned sub function laws and regulation to Enterprise Business Units to align with the Bank’s Compliance program.

  • Consolidates the regulatory expertise and oversight of capital markets, swap dealing, alternative investments and Volcker/French Banking Law.

  • Advises on regulatory application for existing and new products, addresses requirements under the Compliance program framework, advises 1st LOD on the appropriate controls.

  • Collaborates with Enterprise Business Line management affected by alterations in business practices to ensure understanding and implementation of new compliance policies and procedures.

  • Collaborates with Enterprise Business Lines and Designated Compliance Owners to identify issues and monitor corrective action remediation.

  • Oversees periodic 2nd LOD monitoring to determine effectiveness of Enterprise Business Unit 1st LOD controls.

  • Prepares metrics and other high level MIS reporting for Compliance Management.Ensures reporting is prepared and submitted timely, in coordination with other Compliance Operations Groups.

  • Manages a group of Compliance Professional pursuant to BOW HR requirements.

  • Performs other duties as assigned.



  • Bachelor's Degree Business Administration or related field

Work Experience

  • 10 yrs Compliance/Audit/Risk Management experience

Additionalexperience :

  • Minimum10 years managerial experience managing teams

  • BroadSEC, MSRB, FINRA, CFTC regulatory experience

  • Strongcollaboration skills with lines of business

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.

Job: Compliance

Location: United States-California-San Ramon

Other Locations: United States-Nebraska-Omaha, United States-Arizona-Tempe, United States-California-City of Industry, United States-California-San Francisco

Requisition ID: 050288