Associate Corporate Counsel

BOK Financial is a leading financial services organization offering comprehensive banking investment and wealth management solutions across multiple markets. We focus on long-term performance strong risk management and delivering reliable financial expertise to the clients and communities we serve. Our regional strength and diversified business model allow us to grow strategically while maintaining stability and consistency. We remain committed to providing high-quality financial services that support the evolving needs of individuals businesses and institutions.

We are seeking an Associate Corporate Counsel to join our team. This is a unique opportunity to play a foundational role in shaping legal support for a platform that includes registered investment advisers mutual funds and broker-deal operations. The ideal candidate will bring a strong background in Investment Company Act of 1940 (40 Act) matters mutual fund regulation and broker-dealer law and will thrive in a collaborative fast-paced environment where practical business-oriented legal advice is valued.

At BOK Financial your potential is our priority with opportunities designed to help you grow. We create an environment where people are trusted encouraged and equipped to build meaningful lasting careers. Our leaders invest in development offering guidance connection and support every step of the way. Here youll find a culture focused on what you can achieveempowering you to grow with purpose and make an impact.

• You will provide day-to-day legal support across investment management and brokerage businesses including:
  • 40 Act registered funds including open-end mutual funds and related structures
  • Registered investment adviser (RIA) compliance and operations
  • Broker-deal regulatory and transactional matters
• You will advise on federal securities laws including the Investment Company Act of 1940 Investment Advisers Act of 1940 and FINRA rules
• You will support the development launch and ongoing operations of investment products and platforms
• You will review and draft a broad range of documents including:
  • Fund governance materials (board materials policies and procedures)
  • Advisory sub-advisory and distribution agreements
  • Compliance manuals disclosures and client communications
• You will partner closely with Compliance Risk and business stakeholders on regulatory initiatives and examinations
• You will assist in regulatory inquiries examinations and responses (SEC FINRA state regulators)
• You will monitor legal and regulatory developments and proactively advise on impacts to the business
• You will contribute to the build-out of legal processes controls and best practices for a newly formed legal function

• Juris Doctor (JD) from an accredited law school and active bar membership in good standing
• 3-6 years of relevant experience at a law firm and/or in-house legal department
• Demonstrated experience with:
  • 40 Act mutual funds and fund governance
  • Registered investment adviser regulation
  • Broker-dealer legal and regulatory frameworks
• Strong working knowledge of federal securities laws and regulatory structures (SEC FINRA)
• Experience drafting and negotiating investment management-related agreements
• Strong analytical and problem-solving skills with a practical business-oriented mindset
• Ability to manage multiple priorities in a fast-paced environment
• Excellent written and verbal communication skills
• High level of professionalism judgment and integrity
• Familiarity with regulatory exams and interaction with regulators is a plus