Compliance Officer — Regulatory Surveillance & Risk Oversight

Independent Financial Group; San Diego (CA); On-site; USD 90,000 - 105,000; Full time

Benefits offered by this job

On-site fitness center

Company-paid medical insurance

401(k) matching

Job summary

Independent Financial Group is seeking a Compliance Officer to join our San Diego office. You will support broker-dealer and registered investment adviser compliance programs through surveillance, testing, and reviews, ensuring adherence to SEC, FINRA, and state requirements.

The ideal candidate has 3–5 years of compliance experience, Series 7/24, and strong communication, analytical, and risk-management skills to manage multiple priorities in a fast-paced environment.

Qualifications

• Bachelor's degree preferred in a related field.
• 3–5 years of compliance or related experience.
• Strong knowledge of FINRA, SEC and state regulations.
• Series 7 and 24 required; 63/65/66 preferred but not required.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities in a fast-paced environment.
• Detail-oriented with strong analytical and investigative abilities.

Responsibilities

• Assist with administration of Written Supervisory Procedures and Investment Adviser Code of Ethics, including personal trading reviews and related disclosures.
• Monitor advisory accounts for compliance with investment policies and risk parameters.
• Conduct risk-based surveillance reviews of representative activities and supervisory reports.
• Review advertising, marketing materials, websites, seminars, and client reporting for regulatory compliance.
• Assist with branch inspections and remediation tracking.
• Investigate identified exceptions and coordinate remediation with internal partners.
• Respond to inquiries regarding compliance policies and regulatory obligations.
• Support annual FINRA Rule 3120 and Investment Advisers Act Rule 206(4)-7 reviews.

Skills

Communication

Analytical thinking

Attention to detail

Risk assessment

Multitasking

Education

Bachelor's degree preferred

Tools

NetX360

Redtail

Albridge

Laserfiche

SharePoint

RegEd

Job description

Independent Financial Group is seeking a Compliance Officer to join our San Diego office. You will support broker-dealer and registered investment adviser compliance programs through surveillance, testing, and reviews, ensuring adherence to SEC, FINRA, and state requirements.

The ideal candidate has 3–5 years of compliance experience, Series 7/24, and strong communication, analytical, and risk-management skills to manage multiple priorities in a fast-paced environment.