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Supervisory Principal

BOK Financial
United States, Oklahoma, Oklahoma City
April 17, 2024
Req ID:74780 Location:Oklahoma City -OKC, Tulsa -TUL Areas of Interest:Brokerage Services Pay Transparency Salary Range:Not Available Application Deadline:05/13/2024 BOK Financial, Headquartered in Tulsa, Oklahoma, BOK Financial Corporation (NASDAQ: BOKF) is a top U.S.-based financial services holding company with operations in Oklahoma, Texas, Arizona, Arkansas, Colorado, Kansas, Missouri, Tennessee and New Mexico. The company began more than 100 years ago in Tulsa and has successfully diversified into a variety of industries, businesses and geographies. . Bonus Type Discretionary Summary We'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 Description 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. How You'll Spend Your Time You will review and supervise sales activities including the review of new business, trades, new accounts, emails and complex product purchases You'll develop any required training and criteria necessary for advisors monitoring their progress closely until supervision is no longer required You will participate in day to day supervision of special projects, procedures and reviews requested by the Manager of Supervision You will be required to have a working knowledge of securities regulations (FINRA, MSRB, and SEC) You will have decision making skills and be an active partner in any conflict management You will assist in the implementation of any new Compliance Alerts as needed You will provide ongoing supervision review detail and support for the management of BOKFS. Education & Experience Requirements This level of knowledge is normally acquired through completion of a 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. Working Conditions & Physical Requirements Office BOK Financial Corporation Groupis a stable and financially strong organization that provides excellent training and development to support building the long term careers of employees. With passion, skill and partnership you can make an impact on the success of the bank, customers and your own career! Apply today and take the first step towards your next career opportunity! The companies in BOK Financial Corporation Group are equal opportunity employers. 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, pregnancy status, sexual orientation, genetic information or veteran status. Please contact with any questions.