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Bank of the West Sr. Controls & Governance Officer – First Line of Defense Operational Permanent Control (OPC) Business Unit Risk Advisor - KYC in Tempe, Arizona

Sr. Controls & Governance Officer – First Line of Defense Operational Permanent Control (OPC) Business Unit Risk Advisor - KYC


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 taking a lead role in ensuring that the assigned business unit policies, procedures and practices align with BoW 2nd line of defense Op Risks and Compliance requirements and providing challenge for continuous enhancements of the BU 1st line of defense set-up. Responsible for supporting, executing and managing deliverables ensuring that the first line of defense business units effectively manage operational, compliance and enterprise risk leveraging a risk based approach within the risk appetite. Through the development of relationships across 1 st line business partners, as well as 2 nd and 3 rd line of defense, supports the business unit process owners and process managers to maintain an adequate and effective program ensuring the Bank is in full compliance with all banking laws, rules, regulations, and internal policies, procedures and processes.

Essential Job Functions

  • To coordinate and support Business Groups (Know Your Customer, KYC) in implementing any Compliance, Operational Risk and Permanent Control assessment (RCRA, RCSA …) or program or initiative. Manage the scope and the calendar, facilitate the assessments/ implementation, ensure action plan follow-up.

  • To work with the assigned Business Group affected by changing laws, regulations or policies to ensure that appropriate changes are implemented

  • To support the assigned Business Group to respond to Regulatory / Audit inquiries and coordinate evidence gathering

  • To coordinate the risks identification and action plan follow-up

  • To coordinate the production and distribution of processes, procedures/policies and make sure of their compliance with 2LOD requirements and BNPP as well

  • To coordinate the performance of controls and, if required, to perform testing

  • To coordinate and promote the identification and recording of historical operational risk incidents

  • To contribute to any Compliance, Internal Control and Operational Risk statement/reporting

Other Job Duties

  • To identify and report/escalation alerts on issues related to Compliance, Operational Risk and Permanent Control

  • Contribute to 1st LOD governance structure

  • Disseminates all Compliance information and requirements

  • Performs other duties as assigned.


Required Experience

  • Requires deep knowledge of job area typically obtained through advanced education combined with experience.

  • Requires 7 years minimum prior relevant experience.

  • Typically viewed as a specialist within financial security domains (e.g., BSA/AML/OFAC/KYC/etc.)

  • Requires findings management, including writing of self-identified issues, expertise

  • Prior experience with financial systems data flows, and demonstrated ability to understand data flows

  • Prior experience with the various aspects of a risk management framework including, but not limited to, risk control self-assessment (RCSA/RCRA), issue self-identification, business continuity management, third party management, control environment, governance documents (policies/procedures), key risk indicators, information security, cyber security, fraud, audit management, exam management, losses, data management and access management

-Clear communication and ability to influence stakeholders


  • Bachelor's Degree Business Administration or related field

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: 055028