Audit Manager - Compliance

Bonus Type

Summary

BOK Financial is a place where talented individuals can excel, with a culture that encourages bringing your best and working for the best. The role in question involves an objective evaluation of internal controls, risk management, and governance processes, including the detection, investigation, and deterrence of fraud. This position requires high-level analytical thinking and incorporates auditing standards from various regulatory agencies, offering an exciting opportunity for growth, innovation, and teamwork.

Job Description

The Manager, Compliance Audit is primarily responsible for executing the independent Compliance Audit Plan and developing team members.  The Compliance Audit Manager assists with the coordination of work with external parties including regulators as necessary.  The Manager, Compliance Audit follows guidance and frameworks established by applicable state and federal regulatory agencies, including but not limited to, the OCC, CFPB, FINRA, and SEC.  

Team Culture

How You'll Spend Your Time

• You will initiate and oversee the planning of audit work and develop audit programs based on the assessed risk, discussions with management, industry/regulatory trends or requirements, and professional judgment.
• You will determine work priorities, schedule work assignments, and direct and supervise the audit team's work to ensure high-quality work is delivered promptly. 
• You will review audit work papers prepared by staff members to assess documentation of work performed, completeness of the audit work relative to audit risks and objectives of the area, and the appropriate identification of audit findings and recommendation of actions.
• You will be responsible for developing team members, including coordinating training and providing relevant feedback during and after each audit.
• You will plan, coordinate, and manage work on which the external auditors rely for year-end audit and reporting purposes.
• You will assist with determining annual department objectives and the annual audit plan, including preparing risk assessments and defining the timing and allocation of resources. 

Education & Experience Requirements

Required level of knowledge is normally acquired through a Bachelor’s degree in Finance or Accounting and a minimum of 9+ years related experience in a financial institution and/or as a bank examiner with a federal regulatory agency (CFPB, OCC, FDIC, FRB) specializing in Consumer Compliance.  A minimum of five years’ of supervisory/managerial experience is required and a Master’s degree is preferred.  Extensive knowledge and understanding of commercial and residential appraisal techniques and regulations, including USPAP

• In-depth knowledge of applicable Federal banking laws and regulation (e.g. Reg B, C, D, E, X, BB, G, et al.)
• Broad knowledge of state banking codes, laws, and regulations including, but not limited to the following states:  Oklahoma, Arkansas, Arizona, Colorado, New Mexico, Missouri, Kansas, Wisconsin and Texas Extensive knowledge of federally recognized examination procedures to evaluate compliance with applicable Federal and State laws and regulations
• Comprehensive knowledge and understanding of banking operations
• Professional certification required (Certified Regulatory Compliance Manager or equivalent)
• Advanced PC and software skills and strong aptitude for learning bank systems
• Excellent decision making, organizational, and problem solving skills
• Excellent oral and written communication skills including formal presentation skills
• Strong leadership and team building skills
• Strong analytical ability and organizational skills
• Ability to read, accurately interpret, and communicate in an understandable format complex federal and state regulations to personnel corporate-wide

Working Conditions & Physical Requirements