Audit Manager- Bsa/Aml & Sanctions

BNP Paribas San Ramon , CA 94582

Posted 2 months ago

What sets Bank of the West apart from other banks is our team membersthey embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of more than 10,000 employees is vital to the success of our Bank. They reflect our modern western valuesstraightforward, 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 6 strongest banks in the world. We offer opportunities across our diverse business lines Retail Banking, Commercial Banking, National Finance, and Wealth Management.

Position 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 Audit Manager is primarily responsible for audit execution of BSA/AML, and sanctions compliance audit assignments.

Essential Job Functions

  • Manages, directs, mentors, trains and evaluates assigned staff.

  • Leads large and complicated audits as the Head of Assignment. Responsible for the related audit scoping, planning, evaluating, reporting, and supervising. Provides subject matter expertise support on integrated audits.

  • Completes continuous monitoring activities for assigned auditable entities and escalates matters that may impact the timing of the next audit assignments.

  • Prepares, updates, and/or reviews risk assessments for assigned auditable entities.

  • Validates the sufficiency and suitability of business corrective actions to address audit recommendations or completes 2nd level of supervisory review over audit recommendation closure over non-complex findings.

  • Communicates effectively, clearly, concisely, and accurately using written and verbal communications with all levels of management.

  • Demonstrates emerging expertise in audit, risk, compliance, banking, and/or product knowledge.

  • Manages and supervises to ensure BNPP Inspection Generale and Bank of the West Inspection Group policies and procedures are adhered to on audit assignments.

  • Performs other duties as assigned.

Job Specifications

Required Education or Equivalent Experience

  • Bachelor's Degree in applicable and related field

  • Preferred license(s) or certification(s) CIA, CAMS, and/or CRCM

Required Experience

  • Years of functional/professional experience: Minimum years of audit experience: Typically 8+ years

  • Years of supervisory or managerial experience: Typically 2+ years

Administrative/Technical Skills/ Other Information

  • Primary focus of role is on day-to-day deliverables, developing solutions based upon subject expertise, and occasionally representing the department at a broader level.

  • 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.

  • Maintains current on industry developments affected areas of assigned responsibilities.

  • Demonstrable strengths in the following:

auditing core elements of a financial services company's Bank Secrecy Act, Anti-Money Laundering, OFAC/Sanctions Compliance Program; auditing products and services that present higher BSA/AML/OFAC/Sanctions risks to financial services companies; Three lines of defense compliance model; FFIEC BSA/AML examination manual requirements; Compliance risk and control framework; Financial Security and KYC domains.

Primary Location: United States-California-San RamonJob Type: Full-timeJob: Audit

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VIEW JOBS 4/3/2019 12:00:00 AM 2019-07-02T00:00 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 us 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 6 strongest banks in the world. We offer opportunities across our diverse business lines – Retail Banking, Commercial Banking, National Finance, and Wealth Management. Position 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 Audit Manager is primarily responsible for audit execution of BSA/AML, and sanctions compliance audit assignments. Essential Job Functions * Manages, directs, mentors, trains and evaluates assigned staff. * Leads large and complicated audits as the Head of Assignment. Responsible for the related audit scoping, planning, evaluating, reporting, and supervising. Provides subject matter expertise support on integrated audits. * Completes continuous monitoring activities for assigned auditable entities and escalates matters that may impact the timing of the next audit assignments. * Prepares, updates, and/or reviews risk assessments for assigned auditable entities. * Validates the sufficiency and suitability of business corrective actions to address audit recommendations or completes 2nd level of supervisory review over audit recommendation closure over non-complex findings. * Communicates effectively, clearly, concisely, and accurately using written and verbal communications with all levels of management. * Demonstrates emerging expertise in audit, risk, compliance, banking, and/or product knowledge. * Manages and supervises to ensure BNPP Inspection Generale and Bank of the West Inspection Group policies and procedures are adhered to on audit assignments. * Performs other duties as assigned. Job Specifications Required Education or Equivalent Experience * Bachelor's Degree in applicable and related field * Preferred license(s) or certification(s) CIA, CAMS, and/or CRCM Required Experience * Years of functional/professional experience: Minimum years of audit experience: Typically 8 years * Years of supervisory or managerial experience: Typically 2 years Administrative/Technical Skills/ Other Information * Primary focus of role is on day-to-day deliverables, developing solutions based upon subject expertise, and occasionally representing the department at a broader level. * 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. * Maintains current on industry developments affected areas of assigned responsibilities. * Demonstrable strengths in the following: auditing core elements of a financial services company's Bank Secrecy Act, Anti-Money Laundering, OFAC/Sanctions Compliance Program; auditing products and services that present higher BSA/AML/OFAC/Sanctions risks to financial services companies; Three lines of defense compliance model; FFIEC BSA/AML examination manual requirements; Compliance risk and control framework; Financial Security and KYC domains. Bank Of The West San Ramon CA

Audit Manager- Bsa/Aml & Sanctions

BNP Paribas