Sales Supervision Officer
About The Position
Since 1973, East West Bank has served as a pathway to success. With over 110 locations across the U.S. and Asia, we are the premier financial bridge between the East and West. Our teams of experienced, multi-cultural professionals help guide businesses and community members on both sides of the Pacific looking to explore new markets and create new opportunities, and our sustained growth and expertise in industries like real estate, entertainment and media, private equity and venture capital, and high-tech help build sustainable businesses and expand our associates’ potential for career advancement. Headquartered in California, East West Bank (Nasdaq: EWBC) is a top-performing commercial bank with a strong foundation, an enterprising spirit and a commitment to absolute integrity. East West Bank gives people the confidence to reach further. Overview 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
- 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.
Nice To Haves
- Broker-dealer regulatory and/or compliance experience
- 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.
- 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.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
1,001-5,000 employees
