Supervisory Principal

Bonus Type

Summary

We're building a culture at BOK Financial where amazing people (like you) can bring their best, be their best and work for the best. You've come to the right place to grow your career.

Job Description

The Supervisory Principal is responsible for supervising the sales activities of advisors as assigned. Other responsibilities include regular communication with advisors and sales managers regarding compliance regulations and serving as a subject matter expert on compliance questions and issues related to supervision and OSJ responsibilities.  Educating advisors and administrative staff on supervisory procedures will also be an important part of this role’s responsibilities.   

Team Culture

We act as trusted advisors for our clients and communities while using our disciplined approach and business savvy to make the right decisions. We are inspired by our team's entrepreneurial spirit.

We act with honor and truthfulness. Our foundation of integrity builds coworker trust, relationships, and effective interpersonal relationships. We live our company values every day.

How You'll Spend Your Time

• You will review and supervise sales activities including the review of new business, trades, new accounts, emails and complex product purchases
• You’ll develop any required training and criteria necessary for advisors monitoring their progress closely until supervision is no longer required
• You will participate in day-to-day supervision of special projects, procedures and reviews requested by the Manager of Supervision
• You will be required to have a working knowledge of securities regulations (FINRA, MSRB, and SEC)
• You will have decision making skills and be an active partner in any conflict management
• You will assist in the implementation of any new Compliance Alerts as needed
• You will provide ongoing supervision review detail and support for the management of BOK Financial Securities, Inc.

Education & Experience Requirements

This level of knowledge is normally acquired through completion of a Bachelor’s degree, professional certification/licensing in securities and 5+ years of experience in supervision or 9-11 years of equivalent work related experience in a broker/dealer or Office of Supervisory Jurisdiction location.     

Required Professional Licenses:  FINRA Series 7, 24

Preferred Licenses:  Series 65 or 66, Series 53 (or their equivalent).  Series 53 may be offered as a 90 day condition of employment.

Working Conditions & Physical Requirements