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Compliance Officer

Tulsa, OK, US

Req ID: 51996 

Areas of Interest: Brokerage Services; Investment Sales; Risk Management, Compliance; Wealth Management 

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 Compliance Officer position is primarily responsible for (1) monitoring and reporting compliance with policies and procedures adopted by and approved for BOKFS, Inc., BOK-Bank Dealer and BOKFS Agency (2) working with Manager, BOKFS Compliance and BOKFS Management to implement compliance programs that provide reasonable assurance that the above is in compliance with applicable laws and regulations, specifically the OCC, Federal Reserve, FINRA, SEC and MSRB, (3) coordinating with the Chief Compliance Officer, BOKFS Management, other compliance resources within BOK Financial Corporation and Legal counsel regarding complaints received by BOKFS Inc. and, (4) providing support to facilitate, BOKFS’s compliance with laws and policies.

PRINCIPLE DUTIES AND RESPONSIBILITIES:
  1. Monitors and Reports compliance with policies and procedures adopted by and approved for BOKFS, BOK-Bank Dealer and BOKFS Agency. Supervises Personal Transactions for Firm personnel and directors and presents findings and issues to Chief Compliance Officer and BOKF management. Determines additional surveillance reporting required to meet regulatory requirements and best practices and develops reports with clearing firm and appropriate personnel.
  2. Coordinates with Manager, BOKFS Compliance regarding required (FINRA, SEC, MSRB and OCC) compliance reviews, branch reviews, compliance meetings, internal and external audits, trading activity reviews and others as is required in accordance with regulations. Prepares pre-audit documentation for branch and OSJ reviews as well as follow-up letters and documentation. Will coordinate closure on any findings or deficiencies that arise during branch and OSJ reviews.
  3. Works with other BOK Financial Corporation compliance resources including Anti-Money Laundering Compliance Officer and Investment Advisory Compliance Manager to provide monitoring and reporting, in accordance with regulatory requirements.
  4. Manages the complaint process including identification, tracking and filing of complaints; coordinates with the Chief Compliance Officer to ensure timely and accurate reporting in accordance with regulatory requirements.
  5. Informs management and Chief Compliance Officer of possible updates needed to the compliance program and its procedures based on findings from branch and OSJ examinations, complaint patterns, or suitability issues.
  6. Review and approval of advertising, sales literature and correspondence issues for BOKFS, Inc, Bank Dealer, BOKFS Agency, Cavanal Hill Investment Management and Cavanal Hill Funds.
  7. Performs projects, procedures, or reviews as requested by BOKFS, Inc., Bank Dealer, BOKFS Agency, Cavanal Hill and management. Provides ongoing research and compliance review detail and support for the Manager, BOKFS Compliance and Chief Compliance Officer or other managers within BOKFS as applicable.


KNOWLEDGE, SKILLS and ABILITIES:
  • Working knowledge of securities regulations (OCC, FINRA, MSRB, SEC, FRB, and State laws)
  • Working knowledge of capital markets activity (underwriting, investing, trading, leasing, and retail sales)
  • Working knowledge of securities trading operations and accounting
  • Working knowledge of risk management techniques (systems, operations, measures, and controls)
  • Excellent PC skills including word processing and spreadsheet software
  • Strong quantitative and analytical skills (statistics, database management, mathematical relationships, and logic)
  • Required Professional Licenses: FINRA Series 7, 63, 24, 65 or 66, 53, and 4 (or their equivalent)
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 securities compliance or 9-11 years of equivalent work related experience.

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 recruiting_coordinators@bokf.com with any questions. 


TOP 3 REASONS TO APPLY


Investing in our talent and building a great workplace is a top priority at BOK Financial.


  • Empowered employees
  • Award-winning culture
  • Community commitment



ABOUT BOK FINANCIAL


BOK Financial is a regional banking powerhouse and one of the top 25 banks in the U.S. We are based in Tulsa, Oklahoma, and diversified in a variety of industries, businesses, and geographies throughout the U.S.

FACTS:

  • 5,100 employees
  • 28 Years of financial profitability
  • $43+ billion in assets
  • $5.397 million in charitable contributions in 2018



Nearest Major Market: Tulsa
Nearest Secondary Market: Oklahoma

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