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Wealth Management Risk Consultant
BOK Financial Corporation
Tulsa, OK, United States
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Req ID: 48781
Areas of Interest:Wealth Management
BOK Financial (BOKF), Headquartered in Tulsa, Oklahoma, BOK Financial Corporation (NASDAQ: BOKF) is a top 25 U.S.-based financial services holding company with operations in ten states – Oklahoma, Texas, Arkansas, Arizona, Colorado, Kansas/Missouri, New Mexico, Nebraska and Wisconsin. The company began more than 100 years ago in Tulsa and has successfully diversified into a variety of industries, businesses and geographies. .
The Wealth Management Risk Consultant is primarily responsible for assisting with the management of the Control Objectives for their respective business line, which includes among other things, identifying areas of potential risk for the business line and/or its clients. Performs independent reviews of new and existing accounts. Reports any findings to the Strategic Risk Officer. Identifies training needs and process improvements based upon review finding. Assists with the development of processes, procedures and reporting systems to mitigate that risk. Assists with routine audits and compliance tests.
PRINCIPLE DUTIES AND RESPONSIBILITIES:
1. Performs independent reviews of new and existing accounts, the governing documents, account coding and / or control reports to confirm compliance with policies and procedures. Identifies any gaps, works with administrators to correct and reports any significant findings to the Strategic Risk Officer, Department Managers and/or Corporate Governance Committees when appropriate.
2. Identifies risks and assists with implementation of controls to manage the identified risks, assists with drafting of policies and procedures to ensure that controls are effective and test those controls on a periodic basis. Active participation in annual review of process maps and the risk and control self-assessment (RCSA).
3. Prepare for internal and external audits by working with administration to collect required data. Participate in ongoing meetings with auditors, compliance, regulators and risk personnel, as appropriate, to ensure all required information has been collected and reviewed. Routine interaction with corporate compliance, internal audit, and wealth management risk.
4. Identify training needs and process improvements and assists the Strategic Risk Officer with the development of training materials and process improvements.
KNOWLEDGE, SKILLS and ABILITIES:
• Knowledge of the laws, rules and regulations of the specific business line supported
• A solid understanding of critical trust operations requirements in order to recognize logistical issues in trust documents or account coding
• Extensive knowledge and the experience to properly review and interpret legal agreements to ensure proper management of the transaction
• Must have excellent oral, written and communication skills, including interpersonal skills
• Proven ability to analyze complex information and data in order to develop and recommend solutions in challenging projects
This level of knowledge is normally acquired through completion of a Bachelor’s degree and 5-7 years of knowledge and experience with Wealth Management relationships, or 9+ years equivalent experience.
BOK Financialis a stable and financially strong organization that provides excellent training and development to support building the long term careers of our employees. With passion, skill and partnership you can make an impact on the success of the bank, our customers and your own career!
Apply today and take the first step towards your next career opportunity!
BOK Financial is an equal opportunity employer. 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, sexual orientation, genetic information or veteran status.
Attention All Third Party Agencies, Headhunters, and Recruiters
BOK Financial and its Subsidiaries will not accept candidate submission by unsolicited third parties through this site or any company email address. All unsolicited candidates presented to BOK Financial and its Subsidiaries will be considered the property of BOK Financial. BOK Financial and its Subsidiaries will not be responsible for any fees associated with unsolicited candidates, nor will a contractual relationship be formed by the submission. BOK Financial and its Subsidiaries are not obligated and will not under any circumstances pay any fees to said third parties submitting candidates in this manner. BOK Financial and its Subsidiaries only forms contracts with recruiters with whom we have an established business relationship and with whom we have in place a signed agreement. All contact with BOK Financial and its Subsidiaries from third parties must be through our Human Resources Department. Any contact made outside of the BOK Financial Human Resources Department by a third party will cancel any future business relationships between the third party and BOK Financial.