Compliance Officer

This role serves as a key member of the Compliance Department and works across multiple compliance disciplines to help ensure compliance with SEC, FINRA, state regulatory, and firm rules and requirements.

The Compliance Officer is responsible for supporting the firm's broker-dealer and investment adviser compliance programs through surveillance, testing, regulatory reviews, branch inspections, advertising review, and general compliance oversight activities.

The Compliance Officer works closely with representatives, supervisors, and internal departments to identify and mitigate regulatory risk, support the firm's product, supervisory and operations functions, and promote adherence to applicable laws, regulations, and firm policies. The ideal candidate is detail-oriented, adaptable, and capable of managing multiple priorities in a fast-paced environment while maintaining a strong commitment to clear communication, regulatory compliance, and ethical conduct.

This position provides exposure to both broker-dealer and registered investment adviser compliance functions and offers opportunities for professional growth within the organization. Other tasks, responsibilities, and duties as 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 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.

Job Duties

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 documentation of findings, corrective action follow-up, and remediation tracking.

Investigate identified exceptions, trends, and compliance concerns arising from surveillance reviews and coordinate, as applicable, with internal partners and representatives regarding findings and any needed remediation.

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.

Bachelor's degree preferred.

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, 24 required; Series 63, 65, or 66 preferred but not required (willingness to obtain registrations as needed).

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 escalate compliance risks appropriately.

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.

Management experience preferred but not required

Technical Skills

• Proficiency in Microsoft Office, including Word, Excel, PowerPoint, and Teams.
• Experience working with back office systems (such as NetX360, Redtail, Albridge, Laserfiche, SharePoint, RegEd, or similar platforms) is preferred.
• Ability to learn and effectively utilize firm technology platforms and regulatory monitoring tools.

Core Competencies

• Regulatory knowledge
• Professional judgment
• Risk identification and assessment
• Critical thinking and sound judgment
• Attention to detail
• Adaptability and flexibility
• Professional communication
• Collaboration and teamwork
• Accountability and integrity
• Ability to manage multiple projects simultaneously

Compensation

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.