Sale Supervision Officer

Since 1973, East West Bank has served as a pathway to success. With over 120 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 an exclusive focus on the U.S. and Greater China markets. With a strong foundation, and enterprising spirit and a commitment to absolute integrity, East West Bank gives people the confidence to reach further.

East West Bank is currently seeking a Sales Supervision Officer. This individual will continue to perform principal related job duties, signing off on trades, new accounts, correspondence, annuities, etc. In addition this individual will conduct product review and due diligence on new Wealth Management products.

• Signing off on new accounts & trade review in order to ensure adherence to company policy and securities regulations.
• Analyzing Advisors' book of business for patterns of concern. Maintaining books & records for the firm. Escalating any concerns to the manager.
• Assume delegated responsibility for compliance and supervisory related projects and conduct training/presentations as needed.
• Work with Supervisory Principals and registered representatives on all regulatory issues and adherence to firm policies and procedures that may arise, and resolving those matters accordingly which may include drafting Letters of Education or other written warnings or admonishments, training or reevaluating policies and procedures.
• Assist on Regulatory Exams/Inquiries/Sweeps in the region, coordinating with the central Regulatory Examinations Group, Legal, Senior Business Leaders, Operations and other Control Groups, and escalate issues and update management accordingly.
• Ability to cogently communicate research and investment content both orally and written to different audiences, including investment managers, advisors, executive management, and clients. Coordinate with internal bank functions to on-board new product offerings for the wealth management platform
• Polished interpersonal and written skills
• Meticulous attention to detail and highly organized
• Ability to multi-task, handle several high impact projects simultaneously and work well under pressure

• Bachelor's degree required; Master's degree preferred
• At least 5-8 years of industry experience
• At least 5 years of supervisory experience
• Series 7, 24 and 63/65 or 66 licenses required
• Knowledge of product and product offerings