Audit Team Lead - Wealth and Compliance

BOK Financial•Tulsa, OK

23d•Onsite

About The Position

Internal Audit’s mission is to enhance and protect organizational value by delivering risk-based, objective assurance, advice, and insight. We assure management and the Board of Directors by evaluating evidence and forming conclusions about operations, processes, systems, and controls. Our audits provide confidence in governance, risk management, and internal control frameworks. We advise business partners by offering thoughtful recommendations on new products, services, technologies, and processes. Advisory engagements are performed at the request of the business and are designed to proactively support sound decision-making. We add value by identifying opportunities to strengthen controls, reduce risk, and improve operational efficiency across the organization. The Compliance and Wealth Management Audit team conducts independent audit work across Mortgage, Wealth Management, Consumer Compliance, and Bank Secrecy Act activities. The Audit Team Lead – Wealth and Compliance is a senior individual contributor responsible for leading complex, high‑risk audit engagements and providing subject‑matter expertise across the Bank’s wealth management and compliance functions. This role offers significant autonomy and visibility and is designed for an experienced auditor who leads engagements end‑to‑end and influences outcomes through expertise and judgment, without direct people management responsibilities. Audit coverage includes wealth management businesses such as Private Wealth, Trust and Fiduciary Services, and Investment and Advisory activities, as well as compliance with consumer, fiduciary, securities, and banking regulatory requirements. Engagements involve evaluating policies, reports, financial statements, and operating procedures to assess the design and effectiveness of controls and identify regulatory, operational, and reputational risk. The role requires strong analytical judgment to assess operational effectiveness across processes of varying complexity, surface emerging risks, and deliver practical, value‑added recommendations that strengthen governance and compliance. Audit work is executed in accordance with professional standards and regulatory guidance issued by COSO, PCAOB, and applicable banking regulators, including the Office of the Comptroller of the Currency (OCC) and the Federal Reserve Bank (FRB).

Requirements

Bachelor's degree in Finance, Accounting or related discipline
3 to 6 years related experience
In-depth knowledge of Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Public Accounting Oversight Board Standards, and Sarbanes-Oxley
In-depth knowledge of Compliance regulations (Consumer Compliance Audit) or Fiduciary and Securities regulations: 12 CFR 9, 12 CFR 12, Trust Indenture Act, ERISA, Transfer Agent Rules, Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA and Municipal Securities Rulemaking Board (Wealth Compliance Audit)
In-depth knowledge and understanding of banking rules, regulations, and operations
Ability to define a wide variety of abstract and concrete problems, establish facts and draw valid conclusions
Strong ability to effectively communicate both verbal and written information and respond to questions in-person as well as small group situations
Strong ability to effectively plan time, method, manner and sequence of own work assignments as well as those of a team of employees assigned to moderately complex audits
Advanced Word, Excel and PowerPoint skills

Responsibilities

Lead risk-based audits across wealth management and compliance areas, independently assessing business processes, controls, and regulatory compliance.
Manage multiple concurrent audit engagements, applying sound judgment and discretion to tailor audit approaches and achieve objectives efficiently.
Develop engagement objectives, risk assessments, test plans, budgets, and staffing plans, and deliver clear, value‑added recommendations that reduce risk and improve performance.
Influence and review the work of other auditors to ensure quality, consistency, and adherence to professional standards.
Partner with business leaders to present audit plans and results, support post‑audit follow-up, and stay current on regulatory and industry trends.