The Compliance Officer is responsible for managing compliance activities for the Investment Strategy and Advisory Team within the Wealth Management Group’s Global Investment Management Division. The Manager is responsible for the bank’s asset management compliance program and possesses a deep knowledge of investment advisory and asset management compliance, as well as a familiarity with broker-dealer and bank regulation.
• Drafts and implements policies, procedures, and documentation
• Analyzes the asset management program for compliance with Banking Regulations by using recognized compliance tools, such as risk assessment and control matrices to evaluate the control environment and introduce enhancements
• Surveillance of personal trading for potential front running and insider trading
• Reviews marketing material for compliance with policies
• Approves and monitors soft dollar practices
• Oversees gifts/entertainment, electronic communications, and political contributions for approval with Bank policies and procedures
• Participates in adviser due diligence reviews
• Provides compliance advice and guidance
• Reviews actual/potential conflicts of interest and maintains evidence of resolution
• Participates in internal audits, compliance reviews and regulatory inspections
• Acts as the subject matter expert for asset management compliance training programs
• Supports the core compliance effort by preparing management reports for bank and holding company management
• Participates in various Wealth Management Group Compliance projects
• Bachelor’s degree required and JD or MBA preferred
• Minimum of 10 years of asset management/investment advisory compliance and/or legal experience
• Self-starter who can work independently and collaborates with peers to achieve consensus
• Excellent writing skills with the ability to develop detailed policies and procedures in a short timeframe
• Ability to handle multiple projects with competing priorities and short deadlines
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. Bank of the West seeks 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. We offer an exceptional benefits program, including a 401k plan that matches 100% on the first 6%, career advancement and a competitive compensation package.
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