Chief Compliance Officer

Date: Mar 21, 2018

Location: Tulsa, OK, US

Req ID: 44561 

Areas of Interest: Risk Management, Compliance 

BOK Financial (BOKF), Headquartered in Tulsa, Oklahoma, BOK Financial Corporation (NASDAQ: BOKF) is a top 25 U.S.-based financial services holding company with operations in ten states – Oklahoma, Texas, Arkansas, Arizona, Colorado, Kansas/Missouri, New Mexico, Nebraska and Wisconsin. The company began more than 100 years ago in Tulsa and has successfully diversified into a variety of industries, businesses and geographies.                  .

The Chief Compliance Officer (CCO) is responsible for maintaining the operating framework for the identification, management, monitoring and reporting of compliance risks and issues. The CCO reports to the Chief Risk Officer and has responsibility for managing the Company’s enterprise-wide Compliance Program and all compliance matters independent from Internal Audit and the business units.  The CCO works with the Company’s Executive Leadership Team, Business Unit Executives, Senior Risk Professionals and Compliance Professionals to ensure the Company has an adequate system of internal controls that operate efficiently and promote compliance with all applicable laws and regulations across the entire enterprise.  The CCO presents regular updates to the Risk Council and Audit Committee of the Board.  The CCO advises the Board of Directors, Senior Management and bank personnel of emerging compliance issues and consults and guides the Company in the establishment of controls and processes to mitigate risk.


In fulfilling these responsibilities, the CCO follows frameworks established by federal regulatory agencies, including but not limited to, the OCC, CFPB, FRB, FDIC, FINRA, and SEC.  In applying established frameworks, careful consideration is given to complexities within the Company’s operations.  Adherence to these frameworks is achieved through the development and implementation of timely, objective, quantifiable and actionable risk assessments which are designed to identify and measure risk associated with compliance with various laws and regulations.




  • Responsible for developing, implementing and administering all aspects of the Bank’s enterprise-wide Compliance Management Program.  Engender trust by working as a valued business partner to Business Unit Executives and Compliance Professionals to manage compliance efforts at all levels of the organization.  Ensure compliance risk is appropriately identified, measured, monitored and escalated.  Accomplish this through the development of quantifiable risk assessments and oversight of consistent policies, procedures and internal controls that align with the Company’s Risk Appetite Statement.
  • Ensure the Company creates and maintains an appropriate compliance infrastructure necessary to support its products, services, customers, and delivery channels.  Operate an effective and efficient second line of defense function for compliance risk that partners with business units while providing a credible challenge to their risk taking. 
  • Provide oversight to the Compliance Committee, comprised of professionals from the business units, risk management, internal audit, General Counsel and Compliance, ensuring the Committee objectives aligns with both executive management and regulatory expectations.
  • Manage the following Compliance Department units; Consumer and Commercial Compliance, Complaint Management, Compliance Testing, Compliance Training, Fair and Responsible Banking, Mortgage Compliance, Regulatory Monitoring, Wealth Management Compliance and Investment Management Compliance.  Collaborate with business units and other departments such as Information Security, Enterprise Risk Management, BSA, and Market Risk Management to appropriately direct compliance issues.
  • Ensure employees understand consumer protection concepts.  Provide compliance guidance and expertise to various bank project teams and new product development initiatives.  Oversee the Bank’s Compliance Training program.  Direct the review and amendment of existing compliance polices or creation and implementation of new compliance policies.  Direct the development and implementation of appropriate testing methodologies designed to ensure compliance with all applicable laws and regulations.  Ensure CRA and Fair Lending programs are designed and executed to meet community needs.  Evaluate new laws and regulations that may impact the company. 
  • Support the Company’s strategic planning initiatives by leading special projects as necessary or as requested by the Board or Executive Management.  These regularly include, but are not limited to, due diligence reviews; fraud and suspicious activity research; consulting activities over a broad range of topics corporate-wide; various research and analysis projects; and other senior and executive management advisory roles as necessary.  Ensure strategic initiatives appropriately balance risk and reward.
  • Report key risk issues to the Chief Risk Officer, Executive Management, Business Unit Executives, and the Audit Committee of the Board of Directors.   Ensure development of compliance action plans to mitigate known risks to manageable levels.  Respond to alleged violations of laws, rules, regulations, policies and procedures with remediation action plans and oversees the ongoing monitoring and reporting of action plan progress.  Monitor non-compliance and escalate any issues where non-compliance is not addressed.  Effective engagement and interchange between management and the Board in a process that is calculated to bring to light a realistic assessment of risks, rewards and strategies for informed decision-making. 
  • Facilitate coordination of internal and external review of the Company’s Compliance program. Advise the Board of Directors, Senior Management, General Counsel and bank personnel of emerging compliance issues and consults and guides the Company in the establishment of controls to mitigate risks.  Collaborate with General Counsel on recommendations of significant or complex compliance events.
  • Plan Compliance program activities in accordance with external review requirements so as to promote efficiencies in the external review function; coordinates and works closely with regulatory agencies during all examinations, providing a point of contact for information and explanation of regulatory compliance, policy and procedures throughout the company.  Maintain strong, professional relationships with regulatory agencies and external auditors.





  • Comprehensive management skills of people and process
  • Extensive Corporate financial acumen
  • Experience with regulators and examiners
  • Understanding of banking operations; broad knowledge and understanding of banking units; understanding the risk appetite of the organization
  • Excellent analytical ability and organizational skills
  • Excellent oral and written communication skills
  • Focused attention to detail and deadlines
  • Excellent leadership ability, team building skills, relationship building and  relationship management skills
  • Experience in identifying, developing and retaining top talent for the company
  • General knowledge and understanding of applicable compliance management standards and applicable laws and regulations
  • Comprehensive knowledge of federally recognized examination procedures to evaluate compliance with consumer laws and regulations
  • Professional certification (Commissioned Federal Bank Examiner, Certified Regulatory Compliance Manager) preferred but not required


This level of knowledge is typically acquired through a Bachelor’s degree in business, finance or accounting, or a law degree with at least  10 years combined experience as a manager specializing in risk, compliance or audit for a financial institution and/or as a commissioned bank examiner with a federal regulatory agency.

BOK Financial is a stable and financially strong organization that provides excellent training and development to support building the long term careers of our employees. With passion, skill and partnership you can make an impact on the success of the bank, our customers and your own career!

Apply today and take the first step towards your next career opportunity!
BOK Financial is an equal opportunity employer.  We are committed to providing equal employment opportunities for training, compensation, transfer, promotion and other aspects of employment for all qualified applicants and employees without regard to sex, race, color, religion, national origin, age, disability, sexual orientation, genetic information or veteran status.

Attention All Third Party Agencies, Headhunters, and Recruiters
BOK Financial and its Subsidiaries will not accept candidate submission by unsolicited third parties through this site or any company email address. All unsolicited candidates presented to BOK Financial and its Subsidiaries will be considered the property of BOK Financial. BOK Financial and its Subsidiaries will not be responsible for any fees associated with unsolicited candidates, nor will a contractual relationship be formed by the submission. BOK Financial and its Subsidiaries are not obligated and will not under any circumstances pay any fees to said third parties submitting candidates in this manner. BOK Financial and its Subsidiaries only forms contracts with recruiters with whom we have an established business relationship and with whom we have in place a signed agreement. All contact with BOK Financial and its Subsidiaries from third parties must be through our Human Resources Department. Any contact made outside of the BOK Financial Human Resources Department by a third party will cancel any future business relationships between the third party and BOK Financial.

Please contact with any questions. 

Nearest Major Market: Tulsa
Nearest Secondary Market: Oklahoma

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