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Supervisory Principal

Tulsa, OK, US

Req ID: 63885 

Job Location: Tulsa Tulsa OK 

Areas of Interest: Brokerage Services; Risk 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.                  .

Bonus Type

Discretionary

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.

About the Role

You will serve unique and individualized needs for our client accounts, while operating within defined policies and procedures.  Your strategic thinking will help you create efficiencies to meet client needs and reduce potential errors.  You will have significant decision making authority and responsibility for solving problems, customer complaints, and requests for special reporting.

What You Can Expect

As the Supervisory Principal you are responsible for reviewing the daily activity of the sales advisors. You are a critical part of a large process ensuring compliance regulations and serving as a subject matter expert to advisors. You will be in regular communication with advisors educating, enhancing procedures and providing responses to clients as needed.

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 BOSC, Inc.

We'd Like to Talk to You

ANALYTICAL THINKING: You approach a problem logically, systematically, and sequentially.

COMMUNICATION: You are an excellent writer and speaker with the ability to build relationships with clients and coworkers.  

DETAIL ORIENTED: We ask you to follow our established standards and have good judgment so you can escalate situations when appropriate. A passion for doing the job right the first time brings us joy. Follow- up, follow-through, and accuracy are vital for this role. 

MANAGING PERFORMANCE: You set specific, realistic, and measurable goals with dates for accomplishment. You clarify expectations, seek and provide feedback, and prepare personal development plans.

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.

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.

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 for us.


  • Empowered employees
  • Award-winning culture
  • Community commitment



Base salary range explanation:

The base salary range represents an average range for this position. Actual offers to be determined based on the candidate’s qualifications, skills, experience and education. See job details for salary range and bonus type.

Benefits:

BOK Financial offers industry-leading benefits addressing your complete physical, financial and emotional health. Click here to see our benefits.


ABOUT BOK FINANCIAL


BOK Financial is an award-winning $46 billion regional financial services company and one of the top 30 banks in the U.S, based in Tulsa, Oklahoma.

We seek to continually foster and support the principles and values of our company by promoting an environment that is inclusive of the diverse values, opinions, experience, culture and needs of our employees, clients and communities.

FACTS:

  • 5,100 employees
  • 28 years of financial profitability
  • $79+ billion assets under management and administration
  • $5.8 million in charitable contributions in 2019 and $86 million since the start of the BOKF Foundation in 1998



Nearest Major Market: Tulsa
Nearest Secondary Market: Oklahoma

Job Segment: Bank, Banking, Risk Management, Series 7, Finance, Customer Service

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