Operations Specialist

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.

We are seeking a Wealth Management Operations Specialist for our Wealth Management (“WM”) department. This position will engage with most aspects of WM and is required to obtain a foundational understanding of our bank’s WM product and services to deliver holistic operational support to WM team.

• Signing off on new accounts & perform trade review to ensure adherence to company policy and securities regulations. 
• Analyzing Advisors’ book of business for patterns of concern.
• Maintaining books & records for the firm.
• 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, 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.
• Manage Customer Complaints: Promptly capture, acknowledge, investigate, and respond to all verbal/written customer complaints.
• Reviewing incoming and outgoing written (including electronic correspondence like email and social media) and internal communications related to the firm's business for compliance with regulations and firm policies.
• 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
• May perform other duties as assigned

• Bachelor’s degree in Business, Finance, Economic or related field, or equivalent experience
• 4+ years’ experience in operations support for Wealth Management department
• Life insurance and combination license Series 6 or Series 7 and Series 63/65/66
• Excellent written and verbal communication skills
• Strong attention to detail and organizational skills, and able to prioritize work with deadlines
• Knowledge of SmartWorks System a plus
• Proficiency with Microsoft Office (Excel, PowerPoint, Word