Wealth Compliance Officer

Bonus Type

Summary

Join a high-impact Compliance team supporting BOK Financial Securities (BOKFS), a broker-dealer and registered investment advisor. You’ll gain exposure to a broad range of securities and wealth compliance activities, including monitoring, testing, and advisory support across institutional investing, retail sales, public finance, and trading functions. You’ll partner closely with business leaders to help ensure regulatory alignment, strengthen controls, and contribute to a well-managed, forward-looking compliance program.

This opportunity is a strong fit for someone with exposure to securities or wealth environments who understands the regulatory landscape and is either currently licensed or open to obtaining required FINRA registrations. If you’re looking for variety, strong business partnership, and the opportunity to build well-rounded experience in a dynamic compliance environment, this is a great opportunity to grow your impact.

Job Description

As a Corporate Compliance Officer, you will contribute to compliance programs supporting BOK Financial Securities’ businesses. You’ll work closely with business leaders to interpret regulatory requirements, assess risk, and strengthen processes and controls. The position offers a mix of analytical and advisory work, including compliance monitoring, testing, and regulatory support tied to broker-dealer and investment advisory operations.

You’ll gain exposure to a wide range of compliance functions—from reviewing activities and supporting inspections to analyzing data and helping address findings—while building the knowledge and judgment needed to grow within securities compliance. This is a highly collaborative environment with visibility across multiple areas of the business, including institutional investing, retail sales, public finance, and trading.

Team Culture

You’ll join a collaborative, hands-on Compliance team where you’ll gain experience across a range of activities and build well-rounded expertise over time. It’s a strong fit for someone who takes ownership, enjoys partnering with the business, and wants to grow in an analytical environment.

How You'll Spend Your Time

• Support: Assist with compliance monitoring and testing, including risk assessments, process reviews, and control evaluations
• Analyze: Review data and activity to identify trends, gaps, and potential compliance risks
• Partner: Work with business leaders and field teams to interpret regulations and provide practical guidance
• Assess: Review outside business activities, employee accounts, and code of ethics adherence
• Track: Monitor remediation efforts to ensure issues are addressed accurately and on time
• Contribute: Participate in branch inspections, regulatory exams, and broader compliance initiatives

Education & Experience Requirements

Bachelor’s degree in Business, Finance or related field preferred and 3 - 5 years’ regulatory compliance experience with at least 1 year in Consumer compliance or equivalent combination of education and experience.   Completed or working towards completion of a FINRA license (e.g., Series 7, Series 66, Series 24).

• Working knowledge of Compliance regulations for financial institutions, registered entities, or broker-dealer, as assigned.
• General knowledge of federally recognized examination procedures and strong ability to evaluate compliance with applicable laws and regulations.
• Basic understanding of applicable state and federal regulations.
• Basic knowledge and understanding of the impact of compliance requirements affecting banking operations, lending and deposit banking activities, and wealth management. 
• Basic knowledge of federally recognized examination procedures and strong ability to evaluate compliance with applicable laws and regulations.
• Well-developed analytical ability and organization skills (collecting and evaluation of financial and other data to determine trends, core problems/solutions and overall compliance with accepted financial/accounting practices).
• Well-developed oral and written communication skills to effectively represent self and BOKF, as well as ability to present complex information and issues in a clear and concise manner.
• Advanced Excel and Word experience.
• Strong sense of accountability, taking ownership over projects and responsibilities, and resolving issues proactively.
• Ability to effectively plan time, method, manner and sequence of own work assignments

Working Conditions & Physical Requirements