Compliance Officer

Independent Financial Group LLC•San Diego, CA

1d•$90,000 - $105,000

About The Position

The Compliance Officer is a member of the Compliance Department and supports the firm’s broker-dealer and investment adviser compliance programs. The role works across multiple compliance disciplines to help ensure adherence to SEC, FINRA, state regulatory, and firm requirements. Work includes surveillance, testing, regulatory reviews, branch inspections, advertising review, and general compliance oversight. The Compliance Officer works with representatives, supervisors, and internal departments to identify and mitigate regulatory risk and support product, supervisory, and operations functions. The position calls for clear communication, ethical conduct, attention to detail, adaptability, and the ability to manage multiple priorities in a fast-paced environment. It provides exposure to broker-dealer and registered investment adviser compliance functions, with opportunities for professional growth. Other tasks, responsibilities, and duties may be assigned. 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. The posting notes that IFG has been recognized by several industry publications and organizations, including as a leading independent broker-dealer. The position is located at the company’s legal address in San Diego, California. The stated salary range is $90,000 to $105,000.

Requirements

3–5 years of experience in compliance, supervision, operations, audit, or a related role within the financial services industry.
Knowledge of broker-dealer and registered investment adviser regulations.
Series 7 and Series 24 registrations required.
Understanding of FINRA, SEC, and state regulatory requirements.
Excellent written and verbal communication skills.
Strong analytical, investigative, and problem-solving abilities.
Ability to identify, assess, and appropriately escalate compliance risks.
Ability to manage multiple priorities in a fast-paced environment.
Strong organizational skills and attention to detail.
Ability to work independently and as part of a collaborative team.
Proficiency in Microsoft Office, including Word, Excel, PowerPoint, and Teams.
Ability to learn and effectively use firm technology platforms and regulatory monitoring tools.

Nice To Haves

Bachelor’s degree preferred.
Series 63, 65, or 66 preferred but not required; willingness to obtain registrations as needed.
Management experience preferred but not required.
Experience with back-office systems such as NetX360, Redtail, Albridge, Laserfiche, SharePoint, RegEd, or similar platforms.

Responsibilities

Assist with administration of the firm’s Written Supervisory Procedures and Investment Adviser Code of Ethics, including personal trading reviews, gifts and entertainment reporting, outside business activities, political contributions, annual certifications, and related disclosures.
Monitor advisory accounts for compliance with firm investment policies, concentration limits, reverse churning indicators, portfolio risk variances, suitability considerations, and other investment-management parameters.
Conduct and document risk-based surveillance reviews of representative business activities, transactions, communications, and other supervisory reports.
Review advertising, marketing materials, websites, seminars, social media communications, and client reporting materials for compliance with regulatory and firm requirements.
Assist with remote and onsite branch inspections, including documenting findings, following up on corrective actions, and tracking remediation.
Investigate exceptions, trends, and compliance concerns identified through surveillance reviews, and coordinate with internal partners and representatives regarding findings and needed remediation, as applicable.
Respond to representative inquiries regarding compliance policies, supervisory requirements, and regulatory obligations.
Assist with the annual FINRA Rule 3120 Supervisory Control Review and Investment Advisers Act Rule 206(4)-7 Annual Compliance Program Review.
Perform other duties and special projects as assigned.