Controls & Governance, Sales Practices Manager

Bank of the West   •  

Tempe, AZ

Industry: Finance & Insurance


11 - 15 years

Posted 27 days ago

Job Description Summary

Responsible for coordinating the implementation, management and execution of the Conduct Program (including Sales Practices) and alignment with the Risk & Compliance framework for the Retail Banking Division (RBG). Works on a daily basis to review, assess, monitor, support and enhance all aspects of the processes related to Conduct and Sales Practices. She/he is the interface between the BUs teams, RBG's Control & Governance team (both the Head and the other CBD BUs' 1LOD Risks & Controls Managers) and the 2LOD organization (Risk and Compliance) and 3LOD (Audit). The role implies being a resource for the BUs as a trusted advisor and an experienced risks and controls professional. The mandate is to help RBG to implement and manage a comprehensive and robust Conduct program embedded in the BAU day-to-day processes.

Essential Job Functions

Provides a leadership role in designing and implementing the Conduct Program including governance, risk identification and assessment, process design and effectiveness, monitoring, reporting, testing, self-identification and remediation activities.

  • Analyzes various processes and products, existing or new, by addressing required processes under the risk and compliance program framework (risk assessment, process improvements, documenting controls, and implementing Key Risk Indicators, Quality Assurance, and testing)
  • Works with management and staff in areas of the organization affected by alterations in business practices to ensure understanding and implementation of new policies and procedures, processes and controls.
  • Helps develop/amend written policies and procedures related to products and processes
  • Helps design, Supervises and/or performs periodic testing to determine effectiveness of unit's compliance to regulatory and Risk and Compliance requirements, internal policies, and best practices
  • Analyzes events and losses and where appropriate perform root cause analysis and drive lessons learned and the self-identification of remediation activities to prevent reoccurrence.
  • Coordinates the BUs risk committee forums and reports to BUs executives the status of all risk and compliance initiatives within the 1LOD.
  • Promotes risk and compliance awareness to assigned BUs and drives a culture of proactive self-identification of issues.

Other Job Duties

  • Performs other duties as assigned.


Qualifications - External

Required Experience

  • Requires practical knowledge in leading and managing the execution of processes, projects and tactics within one area.
  • Typically has advanced knowledge and skills within a specific technical or professional discipline with understanding of the impact of work on other areas of the organization.
  • Requires 10 years minimum prior relevant experience.


  • Bachelor's Degree Business or Finance