Staff Auditor II - Compliance & Wealth

BOK Financial•Tulsa, OK

27d•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 Staff Auditor II – Compliance & Wealth supports Internal Audit’s mission by evaluating controls, risks, and governance processes across compliance and wealth management activities. This role contributes to audit engagements that provide confidence to management and the Board, support regulatory compliance, and identify opportunities to improve controls and operational efficiency. As a developing auditor, the Staff Auditor II performs detailed audit testing on routine to moderately complex processes under the guidance of Audit Team Leads and senior auditors. This role is well suited for someone looking to deepen their knowledge of banking, regulatory compliance, and wealth management operations while building a strong foundation in internal audit. Audit work includes reviewing policies, reports, financial statements, operating procedures, and business processes related to lending, deposit, operational, fiduciary, and wealth management activities. Engagements are conducted in alignment with professional standards and regulatory guidance issued by COSO, PCAOB, and applicable state and federal banking regulators, including the Office of the Comptroller of the Currency (OCC) and the Federal Reserve.

Requirements

Bachelor's degree in Finance, Accounting or related discipline in addition to 1 to 3 years related experience.
General knowledge of Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Public Accounting Oversight Board Standards, and Sarbanes-Oxley
General 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)
Working towards or completed CPA, CIA, CISA, CRCM, CAMS, CFIRS or other pertinent certification
Ability to apply learned things in moderately varied situations where reasoning and decision making are essential
Strong ability to effectively communicate information and respond to questions in-person as well as small group situations
Ability to effectively plan time, method, manner and sequence of own work assignments
Strong Word, Excel, and PowerPoint knowledge

Responsibilities

Execute audit testing by collecting, examining, and analyzing documentation such as policies, procedures, reports, financial statements, and control evidence.
Evaluate business processes, risks, and internal controls related to compliance and wealth management activities with guidance from audit leadership.
Support audit planning by assisting with engagement objectives and risk‑based test plans.
Document audit results, internal control deficiencies, and observations, and assist in developing recommendations to improve processes and mitigate risk.
Collaborate with audit team members on presentations, exit meetings, special projects, and research of regulatory and industry trends.