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Regulatory Compliance Specialist

Sales Compliance & Regulatory Oversight Lead

Job in Pasadena, Los Angeles County, California, 91122, USA
Listing for: East West Bank
Full Time position
Listed on 2026-03-01
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 100000 - 160000 USD Yearly USD 100000.00 160000.00 YEAR
Job Description & How to Apply Below
A leading commercial bank located in California is seeking a Sales Supervision Officer to manage regulatory functions for licensed individuals. The role requires 5-8 years of relevant business experience, knowledge of securities and insurance regulations, and preferred licenses (FINRA Series 7, 24, 63, 65, 66). Responsibilities include reviewing compliance documents, monitoring client notifications, and updating account data. The position offers a competitive salary range of $100,000 to $160,000 based on experience and qualifications.
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