Supervisory Principal

BOK Financial Corporation Group includes BOKF, NA; BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund and Cavanal Hill Investment Management, Inc. BOKF, NA operates banking divisions: Bank of Albuquerque; Bank of Oklahoma; Bank of Texas and BOK Financial®.

About the role

The Supervisory Principal is responsible for supervising the sales activities of advisors as assigned. Other responsibilities include regular communication with advisors and sales managers regarding compliance regulations and serving as a subject matter expert on compliance questions and issues related to supervision and OSJ responsibilities. Educating advisors and administrative staff on supervisory procedures will also be an important part of this role’s responsibilities.

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.

Responsibilities

• Review and supervise sales activities including the review of new business, trades, new accounts, emails and complex product purchases
• Develop any required training and criteria necessary for advisors monitoring their progress closely until supervision is no longer required
• Participate in day-to-day supervision of special projects, procedures and reviews requested by the Manager of Supervision
• Maintain a working knowledge of securities regulations (FINRA, MSRB, and SEC)
• Apply decision-making skills and be an active partner in conflict management
• Assist in the implementation of any new Compliance Alerts as needed
• Provide ongoing supervision review detail and support for the management of BOSC, Inc.

Requirements

• 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
• Supervision or compliance experience in an Office of Supervisory Jurisdiction or Broker/Dealer in a senior role
• Thorough understanding of securities products, including annuities (variable, fixed, group and equity indexed), non-traditional alternative and illiquid products, and managed account programs
• Working knowledge of securities regulations (FINRA, MSRB, and SEC)
• Conflict management and decision-making skills
• Excellent oral and written communication skills
• Excellent PC skills including Microsoft Office (Word and Excel)
• Strong quantitative and analytical skills (statistics, database management, mathematical relationships, and logic)

Working Conditions

Office