Bank of the West Sr Controls & Governance Officer- Exams & Issues Management in San Ramon, California
Sr Controls & Governance Officer- Exams & Issues Management
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 providing support in preparation for, during, and after examinations, audits, and continuous monitoring activities, as well as facilitating finding/issue remediation for assigned business units (BU). Ensures policies, procedures and practices align with Bank requirements and provides challenges for continuous enhancement for the BU.
Essential Job Functions
Develops and cultivates a close partnership with and supports remediation efforts for finding owners and their teams, including efficiently communicating with other line of defense stakeholders throughout the remediation lifecycle.
Partners with finding owners to provide clear and accountable status updates on the progress of finding remediation while proactively monitoring for potential issues and risks.
Reviews finding closure artifacts for control design and operating effectiveness.
Prepares insightful reporting on finding remediation and active and upcoming exams to senior and executive management.
Compiles data for analysis, proactive action, and communications.
Helps prepare for targeted exams and audits.
Assists in the development and review of responses to examiner and auditor inquiries.
Prepares meeting materials for key regulatory and audit meetings.
Organizes and tracks inquiries.
Recommends and initiates improvements in coordinating with regulators and auditors.
Develops and documents processes for issues and exam management.
Ensures activities are performed accurately, thoroughly, and in accordance with dynamic regulatory, operational risk requirements, and/or industry best practices, and activities meet timeframes.
Proactively manages assignments.
Helps develop our Risk Culture.
Recommends improvements to the BU Regulatory Compliance and Risk Programs. Assists in updating programs for centralized and decentralized functions that cover a wide range of banking activities so they are dynamic with new regulatory, corporate, and process requirements.
Is knowledgeable about industry best practices and systems and acts as a subject matter resource on Level 2 Controls to assigned BU and performs root cause analyses.
Participates as requested in BU Committees/Work Groups along with other Business Team members. Identifies, researches, and reports issues to the committee to resolve as appropriate. Effectively contributes in implementing new BU procedures.
Maintains current knowledge of related banking activities and operational risk management and regulatory compliance requirements for financial institutions. Attends professional seminars and participates in Bank operational risk management and regulatory compliance forums.
Other Job Duties
Understands the implications of regulatory messages and interprets them for the assigned business.
Proactively provides trusted counsel on regulatory and supervisory emerging developments.
Assists in developing and maintaining department policies and procedures in support of the Bank's Integrated Operational Risk Framework and/or industry best practices.
Ensures compliance with laws, regulations, and Bank policy for managing exam information and Confidential Supervisory Information (CSI).
Performs other duties as assigned.
Requires advanced knowledge of job area typically obtained through advanced education combined with experience.
May have practical knowledge of project management.
Requires 7 years minimum prior relevant experience.
Collaborative and good at building and effectively managing and leveraging relationships
Prior audit, regulatory compliance, regulatory agency, or exam management experience preferred
Highly detail oriented and organized
Demonstrated ability to communicate complex concepts concisely verbally and in writing
Strong knowledge of banking and related laws, regulations, and supervisory guidance
Strong knowledge of Federal Financial Institutions Examination Council (FFIEC) handbooks
Strong knowledge of banking risk management and industry practices
Good knowledge of bank operations activities, from both a branch and centralized function aspect
Advanced degree (JD, MBA, etc.) or alternatively certification (CRCM, CERP, CIA, and/or CBA) preferred
Experience in developing, writing, and implementing policies and procedures helpful
Microsoft Office Suite (primarily Excel, PowerPoint, Word) and SharePoint
GRC tool familiarity
Data analytics and reporting
Team player and the ability to manage multiple projects simultaneously
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: Risk Management
Location: United States-Arizona-Tempe
Other Locations: United States-California-San Ramon, United States-Nebraska-Omaha, United States-California-City of Industry, United States-California-San Francisco
Requisition ID: 053330