Senior Compliance Auditor
Company: Bank of the West
Location: San Ramon
Posted on: June 6, 2021
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
Job Description 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 Compliance Auditor II is primarily responsible
for audit execution on dedicated compliance audits as well as
provide compliance coverage during integrated audit
Essential Job Functions.
- Demonstrates a strong ability to execute assigned audit
procedures accurately, timely, and with minimal supervision.
- Supports the Head of Assignment by assisting with audit
scoping, planning, evaluating, and reporting.
- Plan for upcoming consumer compliance-related audits through
review of the audit plan scope and objectives, policies and
procedures, available risk assessments, significant operational or
regulatory changes, prior audit results, and budget /
- Evaluate the effectiveness of an area's internal control
structure through walkthroughs, discussions; as well as reviewing
departmental and desktop procedures, results of applicable
monitoring and testing / quality control, and available
- Based on the evaluation, develop and execute detailed testing
to assure management controls are operating as designed.
- As needed, develop and draft audit findings and recommendations
for management to execute to remediate any identified control
- 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.
- Prepares and updates risk assessments for assigned auditable
entities for supervisory review.
- Validates the sufficiency and suitability of business
corrective actions to address audit recommendations for supervisory
- Exhibits effective written and verbal communication skills with
all levels of management.
- Possesses an understanding of audit, risk, compliance, banking,
and/or product knowledge.
- Executes audit work in accordance with BNPP Inspection Generale
and the Bank of the West Inspection Group policies and
- Certified Regulatory Compliance Manager (CRCM) - desired but
- Bachelor's Degree applicable and 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.
Keywords: Bank of the West, San Ramon , Senior Compliance Auditor, Other , San Ramon, California
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