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Internal Auditor - Wealth Compliance

Tulsa, OK, US

Req ID: 50350 

Areas of Interest: Audit 

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 Senior Auditor I - Compliance provides an objective evaluation of internal controls, risk management and governance processes through the assessment of operational efficiency, financial reporting, and compliance with legal and regulatory standards as well as detecting, investigating and deterring all types of fraud. In executing the responsibilities of this position, the incumbent collects, examines and analyzes detailed policies, reports, financial statements, operating procedures and processes for audits related to compliance with lending, deposit, operational and fiduciary regulations which vary in degree of complexity and which require a high order of analytical, interpretive, and/or constructive thinking in varied situations. The incumbent’s work incorporates auditing standards, guidance and frameworks issued by the Public Company Accounting Oversight Board (PCAOB) and the Committee of Sponsoring Organizations of the Treadway Commission (COSO), as well as state and federal banking regulatory agencies, including, but not limited to the Office of the Comptroller of the Currency and the Federal Reserve.

  1. Collects, examines and analyzes detailed policies, reports, financial statements, operating procedures and processes for financial, operational and corporate governance audits which vary in degree of complexity and require a high order of analytical, interpretive, and/or constructive thinking in varied situations. Works independently with moderate guidance from senior members on audit team and/or manager and is encouraged to recommend variances from planned procedures, as applicable, to efficiently achieve audit objectives. Develops recommendations for changes to processes and systems that will mitigate risk, improve performance and ensure the organization complies with all relevant regulations. Works independently with moderate guidance to document audit results including internal control deficiencies and other audit issues. In collaboration with assigned audit team, may assist with or lead the presentation of the audit plan, audit findings and recommendations to management in addition to leading exit interviews with appropriate Bank personnel. In collaboration with assigned audit team, assists with the post audit follow up to ensure issues and problems are being resolved.
  2. With guidance from manager and senior members on audit team, establishes engagement objectives and creates risk based test plans. May review work of others to ensure audit engagement and report are completed timely, effectively and accurately.

  • Strong general knowledge of Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Public Accounting Oversight Board Standards, and Sarbanes-Oxley
  • Strong knowledge of Compliance regulations (Consumer Compliance Audit) or Fiduciary and Securities regulations: 12 CFR 9, 12 CFR 12, Trust Indenture Act, ERISA, Transfer Agent Rules, Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA and Municipal Securities Rulemaking Board (Wealth Compliance Audit)
  • General knowledge and understanding of banking rules, regulations, and operations
  • Working towards or completed CPA, CIA, CISA, CRCM, CAMS, CFIRS or other pertinent certification
  • Ability to define abstract and concrete problems, establish facts and draw valid conclusions
  • Strong ability to effectively communicate both verbal and written information and respond to questions in-person as well as small group situations
  • Ability to effectively plan time, method, manner and sequence of own work assignments.
This level of knowledge is normally acquired through a Bachelor's degree in Finance, Accounting or related discipline in addition to 2 to 4 years 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 with any questions. 


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

  • Empowered employees
  • Award-winning culture
  • Community commitment


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.


  • 4,900 employees
  • 27 Years of financial profitability
  • $30+ billion in assets
  • $5.2 million in charitable contributions in 2017

Nearest Major Market: Tulsa
Nearest Secondary Market: Oklahoma

Job Segment: Internal Audit, Audit, Bank, Banking, Risk Management, Finance

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