Senior Compliance Analyst - Reg W, Reg O

8 - 10 years experience  •  Financial Services

Salary depends on experience
Posted on 09/22/17
San Ramon, CA
8 - 10 years experience
Financial Services
Salary depends on experience
Posted on 09/22/17

What sets Bank of the West apart from other banks is our team members–they embody the optimistic spirit of the West. There is a spirit here that drives them to do more. Our team of more than 10,000 employees is vital to the success of our Bank. They reflect our modern western values-straightforward, entrepreneurial and optimistic. We seek to create a corporate culture that fosters and rewards excellence, encourages creative thinking and respects diversity – an environment where team members are engaged, supportive of one another and enthusiastic about serving our customers. Bank of the West offers the stability of a company that has a 135 year history and is part of BNP Paribas, a European leader in global banking and financial services and one of the strongest banks in the world. We offer opportunities across our diverse business lines – Consumer Banking, Commercial Banking, and Wealth Management.


Position Summary

Bank of the West has an exciting new senior Compliance Officer role in the area of Regulations W and O.  


The individual in this position will:

·         Take a leadership role in the Regulation W/O program by providing advice and consultation to senior business leaders regarding nuanced Regulation W/O regulatory requirements

·         Perform detailed analyses of complex affiliate transactions involving the global institution and worldwide affiliates

·         Work independently to evaluate business risk assessments and establish effective Regulation W/O internal controls based on regulatory requirements and major compliance obligations

·         Interact with regulatory examiners and other staff in responding to regulatory examinations and routine requests for information

·         Develop remediation plans in partnership with business leaders to address internal audit and other findings

·         Lead Regulation W/O project initiatives to enhance the Regulation W/O control environment

·         Amend enterprise Regulation W/O policies and procedures to enhance the Bank’s Regulation W/O compliance program, and work with business unit risk and control officers to implement cascading policies and procedures.

·         Partner with business unit risk and control officers to ensure a robust first line of defense for Regulation W/O Compliance

·         Design new processes to improve efficiencies and mitigate Regulation W/O risk.

·         Provide leadership on Regulation W/O issues within the Compliance Department and across the Bank

·         Perform daily Regulation W/O activities such as evaluation of routine affiliate transactions and insider lending

·         Work with the Regulation W/O Compliance Manager on other Regulation W/O projects as needed.





·         Bachelor’s Degree  Required

·          Law or Master’s Degree in Business Administration, Finance or related field strongly preferred

·         7 - 10 yrs. combined Legal/Compliance experience

·         3 - 5 yrs. of Regulation W experience

·         Strong working knowledge of banking regulations and subject matter expert in Regulations W/O

·         Strong writing skills, including ability to draft policies and procedures clearly and concisely

·         Strong analytic ability and oral communication skills

·         Self-motivated and able to work independently

·         Able to grasp and translate complex and theoretical concepts into practice

·         Able to multitask and work effectively in a deadline driven environment


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