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Bank of the West Sr Controls & Gov Officer in Tempe, Arizona

Sr Controls & Gov Officer


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.

“To protect the health and safety of our employees and customers, Bank of the West requires all U.S. employees to provide proof of their vaccination status. Employees who are not fully vaccinated must undergo regular testing beginning May, 2022.”

Job Description Summary

Responsible for taking a lead role and broader area of responsibility in 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 1st line business partners, as well as 2nd and 3rd 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

  • Supports operational business unit leaders and functions in the management and execution of activities related to operational, compliance and enterprise risk management programs

  • Executes all aspects of risk management framework including risk assessment, identification, monitoring, mitigation, remediation, reporting and escalation and centralized reviews to effectiveness and efficiency of business unit internal controls. Includes independent testing, documentation, objective evaluation, verbal discussion and reporting

  • Role scope spans all aspects of 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, internal fraud, external fraud, audit management, exam management, data management and access management

  • Identifies, reports and escalates on issues related to Compliance, Operational Risk and Permanent Control To work in close collaboration

  • Liaise with Compliance, Op Control and Audit team – and contribute to 1st LOD governance structure

  • Partner with process owners and process managers to identify and drive process improvements in highly complex and risk areas to maximize efficiency, quality and customer experience

  • Ensures activities are performed accurately, thoroughly, and in accordance with changing business risk appetite, dynamic regulatory, operational risk requirements, and/or industry best practices; and activities meet timeframe standards

  • Driven to meet or exceed specific goals and objectives as quickly as possible; focused on results and will leverage resources available and solve problems creatively to get the job done

  • Performs ongoing oversight of operational business unit controls and the control environment

  • Executes ongoing monitoring for compliance requirements

  • Reviews, analyzes and makes recommendations to the design and implementation of operational and compliance activities so they are dynamic with new regulatory, corporate, and process requirements

  • Supports audit and exam management from preparation to initial letter request and kick off to management response through finding remediation

  • Supports operational business unit alignment with enterprise Compliance requirements and governance documents

  • Maintains emerging trends and changes across financial services industry on emerging risk and changing landscapes

Other Job Duties

  • 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

  • Maintains process documentation and tools for execution of responsibilities

  • Visibly and consistently demonstrating behaviors and standards which promote the desired risk culture of the firm

  • Performs other duties as assigned


Required Experience

  • 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 within risk, compliance or audit.

  • Prior operations experience, preferred


  • Bachelor's Degree Business Administration or related field

Working Location Statement

This position has the option to work in one of our key hubs (San Ramon, CA, Tempe, AZ, Omaha, NE) or to work remotely as long as it is in within our 27 state working footprint which includes AZ, CA, CO, FL, GA, ID, IA, IL, KS, MI, MN, MO, NE, NV, NM, NC, ND, OH, OK, OR, SD, TX, UT, WA, WI, WY, NY.

Annual Hiring Range :


Actual compensation offer to candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level.

In addition to base salary, this position is eligible for "annual" incentives.

Benefits: Visit https://www.bankofthewest.com/about-us/careers/benefits.html for benefits information.

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-California-San Ramon

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

Requisition ID: 064356