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Senior Compliance Auditor

Company: Bank of the West
Location: San Ramon
Posted on: June 6, 2021

Job Description:

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

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 / resources.
  • 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 reporting.
  • 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 gaps.
  • 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 review.
  • 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 procedures.

Required Experience

  • Certified Regulatory Compliance Manager (CRCM) - desired but not required
  • Bachelor's Degree applicable and related field


  • Primary focus of role is on day-to-day execution of assigned areas of audit responsibilities and demonstrates the ability to take on additional responsibilities.
  • Maintains current on industry developments affected areas of assigned responsibilities.

  • Demonstrable strengths in one or more of the following: Bank Audit Activities consumer compliance related Banking laws and regulations; including, but not limited, Equal Credit Opportunity Act (ECOA), Home Mortgage Disclosure Act (HMDA), CRA, Privacy/GLBA, Fair Credit Reporting Act, Flood, Unfair, Deceptive, Abusive Acts or Practices, Americans with Disabilities Act, Servicemembers Civil Relief Act, Truth in Lending Act, etc.
  • Please note that this position does not include reviewing BSA/AML/ OFAC/Financial Security or Regulation W.

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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