East West Bank · 2 days ago
Sales Supervision Officer
Pasadena, CA
Full-time
Onsite
Senior Level
$100K/yr - $160K/yr
5+ years expEast West Bank is a leading commercial bank that serves as a financial bridge between the East and West. They are seeking a Sales Supervision Officer to perform regulatory functions related to documentation, compliance, and filing for approximately 80 licensed individuals.
BankingFinanceFinancial Services
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
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
May perform any other duties or tasks assigned
Qualification
Required
Broker-dealer regulatory and/or compliance experience
Must have securities and insurance product knowledge and regulation knowledge including FINRA, SEC, MSRB and DOL
Applicants must have legal authorization to work in the United States. We do not offer visa sponsorship at this time
Preferred
Bachelors degree preferred with 5-8 years of business experience and/or proven success in a previous related field
Preferred licenses FINRA Series 7, 24, 63, 65, 66
Company
East West Bank
East West Bancorp is a publicly owned company with $22 billion in assets. The Company’s wholly owned subsidiary, East West Bank, is one of
1001-5000 employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1999-02-08IPO
Leadership Team
Christopher J. Del Moral-Niles
EVP & Chief Financial Officer
Diana Liu
Executive Assistant and Project Manager
Recent News
Company data provided by crunchbase