Sales Supervision Associate

East West Bank • Pasadena, CA

16h • $20 - $26

About The Position

East West Bank is seeking a Sales Supervision Officer.Performs various office regulatory functions pertaining to documentation, compliance, and filing covering approximately 80 licensed individuals.

Requirements

• Bachelors degree preferred with 5-8 years of business experience and/or porven success in a previous related field
• 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.

Nice To Haves

• Preferred licenses FINRA Series 7, 24, 63, 65, 66

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 1,001-5,000 employees