KYC Controls And Governance Supervisor

BNP Paribas Tempe , AZ 85280

Posted 3 weeks ago

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

Responsible for overseeing the efficient execution of centralized compliance functions and practices at the group or corporate level. Identifies and remains abreast of laws, regulations and regulatory guidance related to a specific regulation (i.e., AML, OFAC, Fair Lending, or other Banking regulation). Ensures centralized operational practices are accurately documented in procedures to transparently demonstrate satisfaction of compliance rules. This includes monitoring the compliance and operational control process, all while ensuring that the business activities are performed in accordance with applicable laws, regulations and best practices.

Essential Job Functions

  • Manages a team of staff responsible for regulatory and/or program activities related to Bank regulations.

  • Develops and provides MIS and reporting resulting from monitoring or program activities.

  • Monitors and tracks recommendations for enhancements to policies, processes, procedures or controls from external examinations, internal audits or compliance testing.

  • Provides subject matter guidance to implement changes to polices, processes, procedures or controls.

  • Oversees projects or ongoing control process or continuous monitoring process relating to controls that ensure compliance with one or more regulatory requirement

  • Conducts customer due diligence and high risk reviews according to the bank's BSA/AML policy and procedures.

  • Ensures that decisions to retain or exit a customer relationship align with supporting documentation submitted for each high risk customer type, and with appropriate research conducted during the high risk review process.

  • Contribute toward creating efficient solutions to challenges that impact the overall team, while maintaining a focus on productivity

Other Job Duties

  • Performs other duties and responsibilities, as assigned.

Required Experience

  • Requires practical knowledge in leading and managing the execution of processes, projects and tactics within one area

  • Requires a minimum of 3 years Management experience

  • 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

  • Experience with customer outreach, telephone etiquette, and ability to establish rapport with customers by phone

  • Establish and maintain effective working relationships with Bank field Relationship Managers and/or Retail Branch contacts

  • Corporate Compliance

  • BSA/AML- Manages staff of employees responsible for the verification of required Know Your Customer (KYC) documentation, customer identification/validation case investigations, Office of Foreign Assets Controls (OFAC) validation reporting, customer risk assessment, due diligence and enhanced due diligence, and Customer Identification (CIP) operations functions
  • Responsible for managing the efficient execution of centralized compliance functions relating specifically to Anti-Money Laundering (AML) and Office of Foreign Assets Control Sanctions (OFAC) operations

  • The role also coordinates with business unit functions with regard to ensuring the completeness and the validation of customer records in compliance with Bank requirements.

Education

  • Bachelor's Degree or Equivalent work experience.

Required Skills and Competencies:

  • Demonstrated People Management and Leadership skills

  • Negotiation skills

  • Planning and Organizing

  • Leading the coordination with different bank compliance and internal control streams

  • Policies and procedures

  • Line of business entity and unit level compliance and operations control assessments

  • Knowledge of Customer Identification Program (CIP) compliance requirements and research

  • Thorough knowledge of Bank deposit account procedures as they apply to account opening and requirements

  • Oversee the preparation and distribution of regular/special management reports on regulatory and operational risk compliance and the department's activities.

  • Review/approve data compiled for analysis or dashboards

  • Ensure staff maintains current knowledge of operational risk management and regulatory compliance requirements for financial institutions

  • Possesses a strong knowledge of industry best practice

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.

Primary Location: United States-Arizona-TempeJob Type: Full-timeJob: Risk Management Reference: 050714

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KYC Controls And Governance Supervisor

Bank Of The West

Posted 3 weeks ago

VIEW JOBS 4/29/2020 12:00:00 AM 2020-07-28T00:00 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 Responsible for overseeing the efficient execution of centralized compliance functions and practices at the group or corporate level. Identifies and remains abreast of laws, regulations and regulatory guidance related to a specific regulation (i.e., AML, OFAC, Fair Lending, or other Banking regulation). Ensures centralized operational practices are accurately documented in procedures to transparently demonstrate satisfaction of compliance rules. This includes monitoring the compliance and operational control process, all while ensuring that the business activities are performed in accordance with applicable laws, regulations and best practices. Essential Job Functions * Manages a team of staff responsible for regulatory and/or program activities related to Bank regulations. * Develops and provides MIS and reporting resulting from monitoring or program activities. * Monitors and tracks recommendations for enhancements to policies, processes, procedures or controls from external examinations, internal audits or compliance testing. * Provides subject matter guidance to implement changes to polices, processes, procedures or controls. * Oversees projects or ongoing control process or continuous monitoring process relating to controls that ensure compliance with one or more regulatory requirement * Conducts customer due diligence and high risk reviews according to the bank's BSA/AML policy and procedures. * Ensures that decisions to retain or exit a customer relationship align with supporting documentation submitted for each high risk customer type, and with appropriate research conducted during the high risk review process. * Contribute toward creating efficient solutions to challenges that impact the overall team, while maintaining a focus on productivity Other Job Duties * Performs other duties and responsibilities, as assigned. Required Experience * Requires practical knowledge in leading and managing the execution of processes, projects and tactics within one area * Requires a minimum of 3 years Management experience * 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 * Experience with customer outreach, telephone etiquette, and ability to establish rapport with customers by phone * Establish and maintain effective working relationships with Bank field Relationship Managers and/or Retail Branch contacts * Corporate Compliance - BSA/AML- Manages staff of employees responsible for the verification of required Know Your Customer (KYC) documentation, customer identification/validation case investigations, Office of Foreign Assets Controls (OFAC) validation reporting, customer risk assessment, due diligence and enhanced due diligence, and Customer Identification (CIP) operations functions * Responsible for managing the efficient execution of centralized compliance functions relating specifically to Anti-Money Laundering (AML) and Office of Foreign Assets Control Sanctions (OFAC) operations * The role also coordinates with business unit functions with regard to ensuring the completeness and the validation of customer records in compliance with Bank requirements. Education * Bachelor's Degree or Equivalent work experience. Required Skills and Competencies: * Demonstrated People Management and Leadership skills * Negotiation skills * Planning and Organizing * Leading the coordination with different bank compliance and internal control streams * Policies and procedures * Line of business entity and unit level compliance and operations control assessments * Knowledge of Customer Identification Program (CIP) compliance requirements and research * Thorough knowledge of Bank deposit account procedures as they apply to account opening and requirements * Oversee the preparation and distribution of regular/special management reports on regulatory and operational risk compliance and the department's activities. * Review/approve data compiled for analysis or dashboards * Ensure staff maintains current knowledge of operational risk management and regulatory compliance requirements for financial institutions * Possesses a strong knowledge of industry best practice 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. Bank Of The West Tempe AZ

KYC Controls And Governance Supervisor

BNP Paribas