Compliance Audit Supervisor

2 weeks ago

Tulsa, Oklahoma, United States BOK Financial Full time

Req ID:75202

Location:Tulsa -TUL

Areas of Interest:Accounting; Audit; Internal Audit; Risk Management, BSA/AML; Risk Management, Compliance

Pay Transparency Salary Range:Not Available

Application Deadline:08/01/2024

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

Bonus Type: Discretionary

Summary:
Enhance, guide, and contribute value to our team. If you seek a position where innovation is cherished, growth opportunities are abundant, and teamwork is the foundation, you have found the right place.

Job Overview:
In this capacity, you will oversee the execution of the Compliance Audit Plan while mentoring and developing team members. You will facilitate collaboration with external auditors and regulatory bodies as required.

Key Qualifications:
Ideal candidates are proactive in identifying risks, transparent about their findings, and capable of recommending effective solutions. You should possess excellent communication skills, strong business insight, and the ability to critically assess and enhance our processes. Success is defined by addressing root causes to prevent recurring issues.

Team Culture:
Our motto is to enhance, guide, and contribute value. Our department consists of approximately 45 professionals across specialized teams. Collaboration and inclusivity are essential to our unity. We promote flexibility and work-life balance, making our workplace enjoyable. Our employees lead with integrity and actively contribute to our community. Your honesty and accountability will pave the way for your success.

Responsibilities:

  • Initiate and manage the planning of audit activities, developing audit programs based on assessed risks, discussions with management, and industry trends.
  • Establish work priorities, schedule assignments, and supervise the audit team's efforts to ensure timely delivery of high-quality work.
  • Review audit documentation prepared by team members to evaluate the completeness of work relative to audit objectives and ensure proper identification of findings and recommendations.
  • Develop team members through training coordination and providing constructive feedback throughout the audit process.
  • Plan and manage work that external auditors rely on for year-end audits and reporting.
  • Assist in setting annual departmental objectives and the audit plan, including risk assessments and resource allocation.

Education & Experience Requirements:
This level of expertise is typically obtained through a Bachelor's degree in Finance, Accounting, or a related field, along with 2 to 4 years of relevant experience.

  • Comprehensive knowledge of Generally Accepted Accounting Principles, Auditing Standards, and Sarbanes-Oxley.
  • Strong understanding of Compliance regulations and Fiduciary and Securities regulations.
  • General knowledge of banking regulations and operations.
  • Pursuing or holding certifications such as CPA, CIA, CISA, CRCM, CAMS, or CFIRS.
  • Adept at defining problems, establishing facts, and drawing valid conclusions.
  • Excellent verbal and written communication skills, capable of engaging in discussions in both individual and small group settings.
  • Ability to effectively plan and manage time and work assignments.
  • Proficient in Word, Excel, and PowerPoint.

Working Conditions:
Office environment - lifting up to 20 lbs.

BOK Financial Corporation Group is a stable and financially robust organization that offers exceptional training and development opportunities to foster long-term career growth for employees. With dedication, expertise, and collaboration, you can significantly impact the success of the bank, its customers, and your career.

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