Independent Financial Group, LLC
Compliance Surveillance Analyst
Independent Financial Group, LLC, San Diego, California, United States, 92189
Independent Financial Group, LLC (IFG) , an independent broker-dealer and investment advisor located in San Diego, is currently seeking a
Compliance Surveillance Analyst
to join the team! In this role, you will actively monitor brokerage and advisory business conducted by Firm representatives to ensure compliance with FINRA, SEC and industry best practices. You will play a critical role in safeguarding the organization’s assets and reputation while supporting strategic business objectives.
Founded in 2003, IFG provides an array of business solutions supporting more than 532 independent financial professionals across 377 offices nationwide. IFG was named among the “Fastest Growing Private Companies in the US” by Inc. 5000 in 2020, for the eighth time since 2010. San Diego Business Journal ranked IFG #7 among the Largest Private Companies in San Diego in 2022. IFG was ranked 19 th
Independent Broker-Dealer based off revenue in 2023 by Financial Planning Magazine. In 2024, IFG was ranked 16 th
largest among national independent broker-dealers by Financial Advisor Magazine, based on revenue.
Job Duties
Actively monitor and review brokerage and advisory business conducted by Firm representatives.
Provide investment advisory representatives assistance regarding compliance issues, IFG policies and procedures, and industry regulations.
Perform oversight reviews to determine if the advisory activity is in-line with firm and industry standards.
Conduct Annual IA assessment, conduct Best Execution reviews, and initiating and maintaining IARs ADV 2B brochures.
Assist with ADV filings and review of firm and outside RIAs ADV Part 1, 2A and advisory agreements.
Correspond with supervisors and investment advisory representatives regarding advisory issues.
Conduct regular risk assessments and control evaluations to identify potential vulnerabilities and areas for improvement.
Monitor compliance with FINRA and SEC rules and regulations, ensuring timely reporting and resolution of any compliance issues.
Assist with management of remediation projects.
Assist with general compliance duties as assigned.
Qualifications
1+ years of experience in risk management, compliance, or internal controls within a financial services environment, preferably in a broker-dealer setting.
Series 7, 24, 66 (or 63, 65) preferred (Successful candidates will have the opportunity to obtain registration).
In-depth knowledge of FINRA regulations, SEC rules, and other relevant regulatory requirements.
Strong analytical skills with the ability to identify, assess, and mitigate risks effectively.
Excellent communication and interpersonal skills, with the ability to influence stakeholders at all levels.
Proven ability to work independently and as part of a collaborative team.
High level of integrity and professionalism, with a commitment to ethical conduct.
Ability to effectively utilize current Microsoft Windows tools including Word, Excel and Power Point.
Working knowledge of securities, products and services and financial planning concepts.
Ability to multi-task and prioritize.
Must be detail oriented.
Compensation
IFG offers a competitive benefits package, including company-paid medical, dental and vision benefits, 401(k) matching, market-level compensation based on experience, free on-site fitness center, and various employee events throughout the year.
#J-18808-Ljbffr
Compliance Surveillance Analyst
to join the team! In this role, you will actively monitor brokerage and advisory business conducted by Firm representatives to ensure compliance with FINRA, SEC and industry best practices. You will play a critical role in safeguarding the organization’s assets and reputation while supporting strategic business objectives.
Founded in 2003, IFG provides an array of business solutions supporting more than 532 independent financial professionals across 377 offices nationwide. IFG was named among the “Fastest Growing Private Companies in the US” by Inc. 5000 in 2020, for the eighth time since 2010. San Diego Business Journal ranked IFG #7 among the Largest Private Companies in San Diego in 2022. IFG was ranked 19 th
Independent Broker-Dealer based off revenue in 2023 by Financial Planning Magazine. In 2024, IFG was ranked 16 th
largest among national independent broker-dealers by Financial Advisor Magazine, based on revenue.
Job Duties
Actively monitor and review brokerage and advisory business conducted by Firm representatives.
Provide investment advisory representatives assistance regarding compliance issues, IFG policies and procedures, and industry regulations.
Perform oversight reviews to determine if the advisory activity is in-line with firm and industry standards.
Conduct Annual IA assessment, conduct Best Execution reviews, and initiating and maintaining IARs ADV 2B brochures.
Assist with ADV filings and review of firm and outside RIAs ADV Part 1, 2A and advisory agreements.
Correspond with supervisors and investment advisory representatives regarding advisory issues.
Conduct regular risk assessments and control evaluations to identify potential vulnerabilities and areas for improvement.
Monitor compliance with FINRA and SEC rules and regulations, ensuring timely reporting and resolution of any compliance issues.
Assist with management of remediation projects.
Assist with general compliance duties as assigned.
Qualifications
1+ years of experience in risk management, compliance, or internal controls within a financial services environment, preferably in a broker-dealer setting.
Series 7, 24, 66 (or 63, 65) preferred (Successful candidates will have the opportunity to obtain registration).
In-depth knowledge of FINRA regulations, SEC rules, and other relevant regulatory requirements.
Strong analytical skills with the ability to identify, assess, and mitigate risks effectively.
Excellent communication and interpersonal skills, with the ability to influence stakeholders at all levels.
Proven ability to work independently and as part of a collaborative team.
High level of integrity and professionalism, with a commitment to ethical conduct.
Ability to effectively utilize current Microsoft Windows tools including Word, Excel and Power Point.
Working knowledge of securities, products and services and financial planning concepts.
Ability to multi-task and prioritize.
Must be detail oriented.
Compensation
IFG offers a competitive benefits package, including company-paid medical, dental and vision benefits, 401(k) matching, market-level compensation based on experience, free on-site fitness center, and various employee events throughout the year.
#J-18808-Ljbffr