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Senior Auditor II - Compliance (Personal Trust and/or Retirement Plan knowledge is a plus)

Company: BOK Financial
Location: Tulsa
Posted on: November 12, 2019

Job Description:

Req ID:--52573--Areas of Interest:--Audit----At BOK Financial (BOKF), our employees are our most important asset and our growth over the years wouldn---t have been possible without our dedicated and talented work force. We know everyone has specific career goals. It---s what motivates us each day and why we---re invested in working with you.-- -- -- -- -- -- -- -- -- --.The Senior Auditor II - 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 covering multiple areas of the Bank. 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.

PRINCIPLE DUTIES AND RESPONSIBILITIES:

  • 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 covering multiple areas of the Bank. Balances responsibilities of a number of assigned audits occurring simultaneously. Works independently with limited guidance from senior members on audit team and/or manager and has discretion to vary from established procedures to efficiently achieve audit objectives. Uses broad base of knowledge and experience to develop 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 limited guidance to document audit results including internal control deficiencies and other audit issues. In collaboration with assigned audit team, will lead the presentation of the audit plan, audit findings and recommendations to management in addition to exit interviews with appropriate Bank personnel. In collaboration with assigned audit team, may assist with or lead the post audit follow up to ensure issues and problems are being resolved.
  • Establishes engagement objectives, creates risk-based test plans, budgets and staffing plans with guidance from manager and senior members on audit team. Utilizes knowledge and experience to influence and guide other team members. Proposes solutions to challenges that surface during audit engagements. Reviews work of others to ensure audit engagement and report are completed timely, effectively and accurately.

    KNOWLEDGE, SKILLS and ABILITIES:
  • In-depth knowledge of Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Public Accounting Oversight Board Standards, and Sarbanes-Oxley
  • In-depth 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)
  • In-depth knowledge and understanding of banking rules, regulations, and operations
  • Completed CPA, CIA, CISA, CRCM, CAMS, CFIRS or other pertinent certificationThis level of knowledge is normally acquired through a Bachelor's degree in Finance, Accounting or related discipline in addition to 3 to 6 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 recruiting_coordinators@bokf.com with any questions.?

    Company Description:

    At BOK Financial, we---re proud to trace our roots to a small energy bank founded in Tulsa, Oklahoma over 100 years ago during an oil boom. Today, as a top 25 U.S.-based bank with more than $30 billion in assets, BOK Financial has successfully diversified into a variety of industries, businesses and geographies throughout the U.S. We have banking operations in eleven states, with services throughout the nation, and a full-service brokerage firm, BOK Financial Securities, Inc., which has become one of the largest municipal bond underwriters in the country. Our wealth management division also continues to grow, offering a full suite of services to individuals and institutions nationwide.Our focus each day is on meeting the needs of our clients by bringing the right people, services or solutions to the table. We continue to offer the personal touch of the neighborhood bank, with the breadth of experience, resources and products you expect from a regional powerhouse.We know the challenges our clients face because we---ve faced the same highs and lows over the past 100 years. Regardless of the economic cycle, BOK Financial continues to be a strong and stable company, adapting to ever-changing economic conditions. We work with you, side by side, to help you make the most of your money.

Keywords: BOK Financial, Tulsa , Senior Auditor II - Compliance (Personal Trust and/or Retirement Plan knowledge is a plus), Accounting, Auditing , Tulsa, Oklahoma

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