Branch Inspector

Independent Financial Group LLC • San Diego, CA

18h • $65,000 - $80,000 • Onsite

About The Position

Independent Financial Group, LLC (IFG) is a privately held independent wealth management provider based in San Diego, California. Founded in 2003, IFG supports more than 600 independent financial professionals in over 400 offices nationwide with a comprehensive suite of business solutions. IFG has been widely recognized as a leading independent broker-dealer. In 2025, Financial Advisor magazine listed IFG as the 15th largest national independent broker-dealer and #2 for privately held broker-dealers based on gross revenue. Financial Planning ranked IFG 1st for women as a percentage of producing representatives in 2025 and 7th for financial advisor payout in 2024. InvestmentNews ranked the firm in the top 10 for payout and account assets in 2024. IFG is an eight-time honoree on the Inc. 5000 list of "Fastest-Growing Private Companies in the US," and the San Diego Business Journal ranked IFG #7 among the Largest Private Companies in San Diego in 2022 and 2023. The Branch Inspector is essential to the firm’s compliance framework, conducting on-site examinations of branch offices for both the Broker-Dealer and Registered Investment Adviser (RIA) entities. This role involves scheduling, preparing, and completing inspections to ensure adherence to regulatory requirements and internal policies. The Branch Inspector provides guidance to branch staff and principals, identifies and escalates issues, compiles audit findings into formal reports, and follows up on remediation efforts. The role also monitors regulatory developments impacting branch operations and supports the enhancement of internal audit policies and procedures to maintain a consistent, risk-based approach to oversight.

Requirements

• Bachelor’s degree in a business or related field.
• Series 7 and 63 are required at hire; Series 24 required within one year.
• One to three years of branch audit experience (other compliance or supervision experience will be considered, but field audit experience is preferred).
• Clean driving record and U4.
• Ability to travel up to one week at a time and up to two weeks per month (approximately 50% travel / 50% office-based).
• In-depth understanding of SRO, federal, and state regulations regarding broker-dealers and RIAs.

Nice To Haves

• Strong written and verbal communication skills.
• Excellent organizational skills, including planning trips and booking travel.
• Working knowledge of Microsoft Word and Excel.
• Ability to work effectively with registered representatives and principals in the field.
• Independent, self-motivated, and proactive.
• Understanding of the independent broker-dealer model (preferred).

Responsibilities

• Scheduling, prepping and completion of on-site branch office inspections.
• Providing guidance and direction to promote efficiency in branch offices that are in line with firm policies and procedures.
• Compile audit findings and generate reports to the branch principal.
• Follow up with branch on any significant findings or any issues that require attention/remediation
• Perform in-depth reviews of industry or regulatory changes that may impact branch office responsibilities and develop strategies to help the firm work to maintain compliance with such changes
• Participate in the maintenance of internal audit policies and procedures

Benefits

• IFG offers a competitive benefits package including free on-site fitness center, company-paid medical insurance, 401(k) matching, and market-level compensation, based on experience.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 101-250 employees