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). BOK Financial, Headquartered in Tulsa, Oklahoma, BOK Financial Corporation (NASDAQ: BOKF) is a top U.S.-based financial services holding company with operations in Oklahoma, Texas, Arizona, Arkansas, Colorado, Kansas, Missouri, Tennessee and New Mexico.