Supervisory Principal

Were building a culture at BOK Financial where amazing people (like you) can bring their best be their best and work for the best. Youve come to the right place to grow your career.

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 roles responsibilities.

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 teams 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.

• You will review and supervise sales activities including the review of new business trades new accounts emails and complex product purchases
• Youll 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 BOSC Inc.

This level of knowledge is normally acquired through completion of a Bachelors 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)