Operations New Accounts Principal

Independent Financial Group; San Diego (CA); On-site; USD 70,000 - 80,000; Full time

Benefits offered by this job

On-site fitness center

Medical insurance

Life and LTD coverage

401(k) matching

Job summary

Independent Financial Group (IFG) is seeking a detail-oriented New Accounts Principal in San Diego, CA to oversee and approve new client account openings. The role ensures a smooth onboarding process, regulatory compliance, and efficient operations while delivering exceptional service to advisors and clients.

You will review documentation, collaborate with Compliance and Operations, monitor for red flags, and stay current with industry regulations.

Qualifications

• 3+ years of industry experience
• FINRA Series 7 and 24 licenses required
• Strong attention to detail with ability to review discrepancies
• Ability to evaluate risks and red flags
• Manage high volume of approvals with accuracy and compliance
• Great communication skills and teamwork

Responsibilities

• Review and approve new account documentation for accuracy and compliance.
• Partner with Operations leadership, Supervision, and Compliance to resolve issues.
• Monitor accounts for red flags and escalate as appropriate.
• Stay current on industry regulations and firm policies.
• Maintain and update procedure guides to ensure regulatory adherence.
• Deliver high service levels to clients and advisors.
• Build relationships with advisors and internal departments.
• Communicate clearly in phone and email interactions.

Skills

Attention to detail

Account approvals

Regulatory compliance

Stakeholder collaboration

Job description

Overview

New Accounts Principal – San Diego, CA 92130

Salary: $70,000.00 – $80,000.00 per year

Independent Financial Group (IFG) is seeking a detail‑oriented professional to oversee and approve new client account openings, ensuring a smooth onboarding process, operational efficiency, and regulatory compliance while delivering exceptional service to advisors and their clients.

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 escalated 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 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.

Qualifications

• Education and experience: 3+ years of prior industry experience.
• FINRA Series 7 and 24 licenses required.
• Strong attention to detail with the ability to thoroughly review and identify discrepancies in account documentation.
• Capability to evaluate and escalata potential risks and red flags.
• Proven ability to manage a high volume of account approvals while maintaining accuracy and compliance.
• Effective 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.

Compensation & Benefits

• Competitive base salary based on experience.
• Market‑competitive benefits package, including free on‑site fitness center, company‑paid medical insurance, company‑paid life and long‑term disability coverage, and 401(k) matching.