Associate Corporate Counsel

BOK Financial•Tulsa, OK

2d•Onsite

About The Position

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, you’ll find a culture focused on what you can achieve—empowering you to grow with purpose and make an impact.

Requirements

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.
Demonstrated experience with registered investment adviser regulation.
Demonstrated experience with 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.

Nice To Haves

Familiarity with regulatory exams and interaction with regulators is a plus.

Responsibilities

Provide day-to-day legal support across investment management and brokerage businesses, including 40 Act registered funds, registered investment adviser (RIA) compliance and operations, and broker-dealer regulatory and transactional matters.
Advise on federal securities laws, including the Investment Company Act of 1940, Investment Advisers Act of 1940, and FINRA rules.
Support the development, launch, and ongoing operations of investment products and platforms.
Review and draft a broad range of documents, including fund governance materials, advisory/sub-advisory/distribution agreements, and compliance manuals, disclosures, and client communications.
Partner closely with Compliance, Risk, and business stakeholders on regulatory initiatives and examinations.
Assist in regulatory inquiries, examinations, and responses (SEC, FINRA, state regulators).
Monitor legal and regulatory developments and proactively advise on impacts to the business.
Contribute to the build-out of legal processes, controls, and best practices for a newly formed legal function.