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Compliance Testing Officer II

Company: Bok Financial
Location: Tulsa
Posted on: November 25, 2022

Job Description:

Req ID:68572Job Location:TulsaTulsaOKAreas of Interest:Risk Management, ComplianceColorado Base Salary Range:Not AvailableBOK 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 TypeDiscretionarySummaryWe'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.Job DescriptionThe Compliance Testing Officer III performs a key second line of defense role to ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The position supports overall compliance through execution of testing programs designed to evaluate the effectiveness of business practices in meeting respective regulatory compliance. Key responsibilities include preparation of detailed compliance testing reports to Managers and Directors, assisting in formulating remediation plans, root cause analysis and issue tracking. The Level III Officer is regarded as a subject matter expert and works on the most complex testing assignments requiring experience with BOKF in Compliance Testing. The Level III serves as an escalation point for and mentors Compliance Testing Officer Levels I and II.Team CultureWe celebrate each other's wins, big and small. We respect, honor and praise one another for a job well done. We are transparent and collaboration is the key to success with this fast-paced team. Simply put: We Achieve More Together.How You'll Spend Your TimeYou have a strong understanding of regulations and laws that impact our bank and consult with the business line regarding application of laws and regulations. You will use your expertise in this space to execute testing programs, track issues, perform root case analysis and assist in formulating remediation plans. You will prepare compliance testing reports to be shared with leadership including managers and directors. You will mentor and service as an escalation point for other compliance officers on the team. Education & Experience RequirementsThe required level of knowledge is normally acquired through completion of Bachelor's degree or equivalent combination of education and experience. Completed or working towards CRCM, CAMS, CFIRS, CIA, IAACP or equivalentWork Experience

  • Minimum 8 years' experience with financial institutions with at least 3 years in the regulatory compliance field or a related function of Internal Audit, OCC, FRB, CFPB, DOL, FINRA and SEC rules; or equivalent combination of education and experience.
  • Minimum 2 years' experience in BOKF Compliance Testing role or Internal Audit role
  • Advance experience in Consumer protection, Trust, Registered Investment Advisor, Broker/Dealer, or Community Reinvestment activities would be beneficial as a Commissioned Bank Examiner (CFPB, OCC, FDIC, DOJ).
  • In-depth knowledge and understanding of:Compliance, fiduciary, securities, and/or investment advisory related regulations included but not limited to the following:Personal Attributes
  • 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
  • Strong conceptual thinking and analytical skills with the ability to analyze complex problems that include interrelationships and dependencies in order to identify common themes and solutions
  • Demonstrated ability to establish and build healthy working partnerships with all levels of employees
  • Solid 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 assignmentsWorking Conditions & Physical RequirementsOfficeBOK 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!If you are interested in a career with BOK Financial text "BOKF" to 25000 to engage with Olivia our virtual recruiting assistant.

    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.

Keywords: Bok Financial, Tulsa , Compliance Testing Officer II, Other , Tulsa, Oklahoma

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