Compliance Officer: Regulatory Oversight & Surveillance

Independent Financial Group, LLC; San Diego (CA); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

On-site fitness center

Company-paid medical insurance

Company-paid life and LTD coverage

401(k) matching

Job summary

Independent Financial Group, LLC (IFG) is a leading independent wealth management provider based in San Diego, California. The Compliance Officer role sits in the Compliance Department and collaborates across disciplines to ensure regulatory adherence for broker‑dealer and investment adviser programs.

The position emphasizes surveillance, testing, reviews, and ongoing risk management in a fast‑paced environment.

Qualifications

• Bachelor's degree preferred.
• 3–5 years of compliance experience in financial services.
• Knowledge of FINRA, SEC and state regulations.
• Series 7, 24 required; 63/65/66 preferred but not required.

Responsibilities

• Assist with WSP and Investment Adviser Code of Ethics administration, including reviews and disclosures.
• Monitor advisory accounts for policy compliance and risk.
• Conduct risk-based surveillance reviews of business activities and reports.
• Review advertising materials for regulatory compliance.
• Assist with branch inspections and remediation tracking.
• Investigate exceptions and coordinate with internal partners on remediation.
• Respond to inquiries regarding compliance policies and regulatory obligations.
• Support annual FINRA and IA compliance program reviews.
• Perform other duties and projects as assigned.

Skills

Regulatory knowledge

Analytical skills

Communication skills

Multi-tasking

Education

Bachelor's degree

Tools

NetX360

Redtail

Albridge

Laserfiche

SharePoint

RegEd

Job description

Independent Financial Group, LLC (IFG) is a leading independent wealth management provider based in San Diego, California. The Compliance Officer role sits in the Compliance Department and collaborates across disciplines to ensure regulatory adherence for broker‑dealer and investment adviser programs.

The position emphasizes surveillance, testing, reviews, and ongoing risk management in a fast‑paced environment.