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East West Bank · 6 days ago

Sales Supervision Associate

Pasadena, CA

Full-time

Onsite

Mid, Senior Level

$20/hr - $26/hr

5+ years exp

East West Bank is a leading commercial bank that serves as a financial bridge between the East and West. They are seeking a Sales Supervision Associate to perform regulatory functions related to documentation and compliance for licensed individuals, ensuring adherence to regulatory requirements and maintaining accurate client account data.

BankingFinanceFinancial Services

Comp. & Benefits

No H1B

Responsibilities

Review and file the monthly transmittals including any applicable checks received blotters, correspondences, gift logs for all Advisors and securities registered LBEs

Monitors associate client notifications pertaining to critical account changes or regulatory requirements and ensure compliance

Maintain file with current data on non-traded REITs sold

Review new account applications for completion, request missing documents or corrections

Review marketing seminar files for completion, request missing documents

Update various aspects of client account data in SmartWorks, BLM or other systems

Cross-check data over multiple files and systems for consistency and update records

Licensed or ability to become licensed and perform principal review functions

Perform any other duties or tasks assigned

Qualification

Broker-dealer regulatory experienceCompliance experienceSecurities product knowledgeFINRA Series 7FINRA Series 24FINRA Series 63FINRA Series 65FINRA Series 66Business experienceInsurance product knowledgeRegulation knowledge