Wealth Compliance Lead | Broker-Dealer Risk & Monitoring
BOK Financial
BOK Financial is seeking a Corporate Compliance Officer to support compliance programs for BOK Financial Securities. This role involves regulatory interpretation and process strengthening while providing analytical and advisory support. The ideal candidate possesses 3 - 5 years of regulatory compliance experience and a Bachelor's degree in a relevant field. If you're ready for a collaborative environment that promotes growth and professional development, apply now! #J-18808-Ljbffr BOK Financial
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Wealth Compliance Lead | Broker-Dealer Risk & Monitoring in Tulsa, OK vacancy
- ...OKC Areas of Interest: Risk Management, Compliance Pay Transparency... ...and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund... ...Securities (BOKFS), a broker-dealer and registered investment... ...compliance activities, including monitoring, testing, and advisory...RiskWork at office
BOK Financial
Tulsa, OKmore than 2 months ago - BDO USA, LLP is seeking a Senior, Compliance & Monitoring to support a comprehensive grant compliance program. The role emphasizes timely analysis, data integrity, and audit readiness across federal and state regulations, with collaboration across program teams and stakeholders...SuggestedRemote job
- ...City -OKC, Phoenix -PHOEAreas of Interest: Corporate Trust; Risk Management; Wealth ManagementPay Transparency Salary Range: Not... ...systems to mitigate that risk. Assists with routine audits and compliance tests. Team CultureYou’ll work collaboratively with your colleagues...Risk
- BOK Financial is seeking a Wealth Management Risk Consultant to help manage risk across our wealth management lines. The role focuses on identifying... ...with control development and testing. You will work with Compliance, Internal Audit, and wealth management teams to ensure...Risk
- The Senior, Compliance & Monitoring supports the Compliance and Monitoring team by performing essential tasks related to the timely analysis,... ...company stock and grants employees the chance to grow their wealth over time as their shares vest and grow in value with the firm...SuggestedWork at officeRemote work
- ...Bank Operations; Professional; Wealth Management OperationsPay... ...balancing oversight, aged-item monitoring, workflow visibility, operational... ...succession planning efforts.Drive - Lead strategic initiatives,... ...and/or cash processing, and/or Risk management and at least 4 years...Risk
$99k - $266k
Industry/SectorAsset and Wealth ManagementSpecialismIndustry Tax PracticeManagement... ...to clients on tax planning, compliance, and strategy. These... ...obligations while minimising risks of non-compliance.Enhancing... ...our Firm. You are expected to lead with integrity and authenticity...RiskFull timeH1b- ...Tulsa -TULAreas of Interest: Wealth Management Operations;... ...this is your opportunity to lead and grow with us!Job DescriptionThe... ...and the managing of compliance and risk exposure ensuring operational... ...through the establishment and monitoring of effective internal controls...RiskImmediate start
$77k - $214k
Industry/SectorAsset and Wealth ManagementSpecialismIndustry Tax PracticeManagement... ...to clients on tax planning, compliance, and strategy. These... ...obligations while minimising risks of non-compliance.Focused on... ..., and experiences you need to lead and deliver value at this...RiskFull timeH1b- ...Analyst IV (Microsoft 365 Platform Lead)Role OverviewAs an IT Analyst IV, you... ...permissions reviews.• Security & Compliance: Microsoft Purview, Insider Risk Management, data classification, DLP... ...platform strategies by monitoring the Microsoft 365 roadmap, evaluating...Risk
- ...BOK Financial Private Wealth, Inc. BOKF, NA operates... ...will be positioned to lead one of the organization... ...architecture, cybersecurity, risk management, vendors,... ...security controls, and compliance expectations.• You will... ..., delivering, and monitoring meaningful performance...RiskContract workTemporary workShift work
- Job Description The Risk Management and Compliance Coordinator is responsible for organizing and coordinating... ...operations which include education, monitoring, trending, and developing policies... ...Management Plan, and Compliance Plan, leads the Grievance and Compliance...RiskLocal area
$133.4k - $247.7k
...technology and resources for the team to use.* Complies with, monitors their staff for compliance with, and ensures that their areas have appropriate... ...level-funded products*Knowledge of ACA market dynamics, risk adjustment, rate development, product strategy, and regulatory...RiskFull timeWork at office3 days per week- ...Investment Operations Analyst to support Wealth Management accounts and maintain transactional... ...include improving processes to mitigate risks, completing securities transactions... ...assisting auditors, investment managers, and compliance teams. Strong analytical and...Risk
$21 - $29 per hour
.... As a Produce Department Lead you will drive sales in your... ...sanitation equipment usage safety and compliance Manages seasonality in terms... ...from multiple sources monitoring progress and results and identifying... ...to learn takes calculated risks and demonstrates courage and...RiskHourly payMinimum wageJob sharingFull timeTemporary workPart timeImmediate startWalmart
Tulsa, OK3 days ago- CommunityCare HMO Inc. is seeking a Risk Adjustment Operations Leader to oversee day-to-day activities across... ..., and audits. You will drive process improvements, monitor performance, and ensure CMS and internal compliance for prospective and retrospective risk adjustment...Risk
$22 - $30 per hour
...Summary As a Bakery Department Lead you will drive sales in your... ..., safety, sanitation and compliance, sharing knowledge and training... ...information from multiple sources, monitoring progress and results and... ...desire to learn, takes calculated risks, demonstrates courage and...RiskHourly payMinimum wageFull timeTemporary workPart timeImmediate start- ...Consumer Lending Risk AnalystTulsa, OK, US, 74101 Location: Tulsa -TUL Areas of Interest... ..., Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund and Cavanal... ...Financial Corporation Group offers industry-leading benefits addressing your complete physical...RiskWork at officeLocal area
BOK Financial
Tulsa, OK2 days ago - ...Function HF Sinclair Midstream is seeking a Compliance Auditor Lead. The position is open to Dallas, TX;... ...regulatory compliance and operational risk‑based audits, including evaluations... ...across the organization. Reviews and monitors progress report updates, records and regulatory...RiskWork experience placementWork at officeLocal areaNight shift
- ...78505 Location: Tulsa -TUL Areas of Interest: Risk Management, Compliance; Risk Management Pay Transparency Salary Range: Not... ...BOK Financial Securities, Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates TransFund and Cavanal Hill Investment...RiskWork at office
BOK Financial
Tulsa, OK4 days ago - Busey Bank in Tulsa, OK is seeking a Credit Monitoring Analyst II to support commercial credit monitoring and portfolio management by reviewing... ...prepare ad hoc reports while maintaining confidentiality and compliance with bank policies. Experience with nCino or Jack Henry is a...
- ...on implementing HACCP, SQF, GFSI standards and OSHA compliance, while driving continuous improvement and preventive safety measures. You will lead training, inspections, and regulatory reporting, partnering with Risk Management to strengthen loss prevention and coach managers...Risk
- ...TULAreas of Interest: Risk Management;... ...Financial Private Wealth, Inc. BOKF, NA operates... ...Officer, you will lead the enterprise... ...FINRA-supervised broker-dealers, and trust and fiduciary... ...security risk and compliance, while shaping how... ...identify, assess, monitor, and communicate...Risk
- ...company-wide leadership role responsible for leading Program Controls at Freese and Nichols,... ...programs and projects, applying advanced risk mitigation strategies.Assist Project... ...establishing and maintaining robust baselines, monitoring performance, and delivering meaningful...RiskFull timeLocal areaRemote workFlexible hours
- ...seeking a Securities Services Operations Specialist II to support wealth management accounts on our trust and bond accounting systems.... ..., and reconciliations, collaborating with account officers, Risk, Compliance, and external partners. This role requires a bachelor's in...Risk
- ...Services Operations Specialist II to manage transactional processing and accounting for Wealth Management accounts on trust and bond systems. You will work with officers, Risk, Compliance, and external partners to ensure accurate client reporting. The role requires a...Risk
- ...decisions and collaborate with asset managers, brokers, and analysts to align with... ...role requires evaluating market trends, monitoring performance, and presenting insights to senior... ...skills are essential for driving portfolio success and risk #J-18808-Ljbffr Regent-BankRisk
- ...Construction, Inc. is seeking an EHS Manager to develop a safety culture and implement risk-reduction strategies on construction sites in Tulsa, Oklahoma. This role is responsible for ensuring compliance with safety regulations, training staff, and managing incidents effectively....Risk
- ...standards of integrity ethics and compliance models the Walmart values and leads by example to foster our culture supports... ...from mistakes and intelligent risk taking and exhibits resilience in... ...maintenance service completion monitoring contractor performance assisting in...RiskFull timeFor contractorsLocal area
- ...Financial is a leading financial services... ..., and wealth management solutions... ...performance, strong risk management, and... ...funds, and broker-deal operations... ...regulation, and broker-dealer law, and will... ...adviser (RIA) compliance and operations,... ...). You will monitor legal and...Risk
BOK Financial
Tulsa, OK3 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Wealth Compliance Lead | Broker-Dealer Risk & Monitoring. Be the first to apply!
