Operations New Accounts Principal
About The Position
Independent Financial Group (IFG) is seeking a New Accounts Principal to oversee and approve new client account openings. This role ensures a smooth onboarding process, operational efficiency, and regulatory compliance while delivering exceptional service to advisors and their clients. The ideal candidate is detail-oriented, accurate, and experienced in financial operations and account onboarding. This position is based onsite in San Diego. 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.
Requirements
- 3+ years of prior industry experience required.
- FINRA Series 7 and 24 licenses required.
- Strong attention to detail with the ability to thoroughly review and identify discrepancies in account documentation.
- Capable of evaluating and escalating potential risks and red flags.
- Proven ability to manage a high volume of account approvals while maintaining accuracy and compliance.
- Performs effectively under pressure and meets tight deadlines with consistency.
- Collaborative mindset with a focus on building strong partnerships across departments.
- Excellent oral, written, and organizational communication skills.
- Resourceful problem-solver with the ability to quickly address documentation or process issues.
- Strong prioritization and time-management skills, maintaining quality in a fast-paced environment.
Responsibilities
- Review and approve new account documentation for accuracy, completeness, and regulatory compliance.
- Partner with Operations leadership, Supervision, and Compliance to resolve issues or exceptions.
- Monitor accounts for potential red flags or suspicious activity and escalate as appropriate.
- Stay current on industry regulations, firm policies, and updates that impact account opening.
- Maintain and update procedure guides to ensure adherence to internal policies and regulatory requirements.
- Deliver a high standard of service to IFG investment professionals and their staff by assisting with client account inquiries.
- Build and maintain positive relationships with advisors, their staff, and internal departments, grounded in trust and collaboration.
- Communicate clearly and professionally in all phone and email interactions.
Benefits
- IFG offers a competitive benefits package, including a free on-site fitness center, company-paid medical insurance, company-paid life and long-term disability (LTD) coverage, 401(k) matching, and market-competitive compensation based on experience.
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What This Job Offers
Job Type
Full-time
Career Level
Principal
Education Level
No Education Listed
