• Senior Compliance Officer

    Location US-CA-Pasadena
    Job ID
    2018-5301
    Category
    Legal Compliance
    Position Type
    Full-Time
  • Overview

    For more than 40 years, East West Bank has served as a pathway to success. With over 130 locations across the U.S. and Greater China, 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, high-tech and aviation help build sustainable businesses and expand our employees’ 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 assets of $37.7 billion, we’re ranked among the 30 largest banks in the United States and currently top 5 in “America’s 100 Best Banks” by Forbes, a list where we've consistently been in the top 15 since 2010. With a strong foundation, an enterprising spirit and a commitment to absolute integrity, East West Bank gives people the confidence to reach further.

    The Senior Compliance Analyst will assist the Corporate Compliance Officer with the development and execution of the Bank’s Corporate Compliance Program, including the assessment and monitoring of regulatory compliance risks of bank-wide corporate functions.

    Responsibilities

    1. Support the Compliance Officer in developing and executing the monitoring procedures for the Corporate Compliance Program and preparing management reports. Monitoring procedures may include, but not limited to, assessment of policies and procedures to regulatory requirements, controls testing, report validation, and transactional testing.

     

    1. Maintain tracking of business units’ action plans to ensure identified gaps and corrective actions are promptly addressed, resolved, and reported.

     

    1. Perform regulatory research and technical assistance as assigned. Support the Compliance Officer in developing compliance-related and training materials and implementation of regulatory changes.

     

    1. Assist the Director of Compliance and the Compliance Officer with regulatory examinations, audits, and third-party reviews as necessary.

     

    1. Prepare meeting agendas, materials and maintain minutes of meetings as necessary.

     

    1. Manage workload effectively and independently with minimum supervision while adhering to deadlines.

    Qualifications

     

    Qualifications:

    • Minimum 5+ years total experience in a banking or financial services environment
    • Bachelor’s Degree or equivalent experience required

    Knowledge and Experience: 

    • Knowledge and understanding of general regulatory risk in the financial/banking sector
    • Knowledge and understanding of deposit operations, including account services and support services
    • Knowledge of basic trust concepts and vehicles, including an awareness of basic fiduciary risks and issues
    • Excellent oral and written communication skills; experience communicating with management and writing reports
    • Proficiency in MS Word, Power Point and Excel is required

    Additional Desired Skills and Qualifications

    • Compliance certification, CPA, or CIA is a plus

     

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