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Regulatory Compliance Specialist

Sales Compliance Supervisor - Financial Services

Job in Pasadena, Los Angeles County, California, 91122, USA
Listing for: East West Bank
Full Time position
Listed on 2026-01-12
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 60000 - 80000 USD Yearly USD 60000.00 80000.00 YEAR
Job Description & How to Apply Below
A leading financial institution is seeking a Sales Supervision Officer to manage documentation and compliance tasks involving approximately 80 licensed individuals. Responsibilities include filing monthly transmittals, monitoring client notifications for regulatory compliance, and verifying new account applications. The ideal candidate will possess a Bachelor's degree and have 5-8 years of relevant business experience along with knowledge of securities regulations.

This role offers competitive compensation based on experience and location.
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