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Independent Financial Group, LLC · 9 hours ago

Branch Inspector

San Diego, CA

Full-time

Onsite

Entry, Mid Level

1+ years exp

Independent Financial Group, LLC (IFG) is a privately held independent wealth management provider based in San Diego, California. The Branch Inspector is essential to the firm’s compliance framework, conducting on-site examinations of branch offices to ensure adherence to regulatory requirements and internal policies.

AdviceAsset ManagementFinancial Services

Responsibilities

Scheduling, prepping and completion of on-site branch office inspections

Providing guidance and direction to promote efficiency in branch offices that are in line with firm policies and procedures

Compile audit findings and generate reports to the branch principal

Follow up with branch on any significant findings or any issues that require attention/remediation

Perform in-depth reviews of industry or regulatory changes that may impact branch office responsibilities and develop strategies to help the firm work to maintain compliance with such changes

Participate in the maintenance of internal audit policies and procedures

Qualification

Series 7Series 63Branch audit experienceSeries 24Regulatory compliance knowledgeMicrosoft WordMicrosoft ExcelIndependent broker-dealer understandingWritten communicationVerbal communicationOrganizational skills

Required

Bachelor's degree in a business or related field

Series 7 and 63 are required at hire; Series 24 required within one year

One to three years of branch audit experience (other compliance or supervision experience will be considered)

Clean driving record and U4

Ability to travel up to one week at a time and up to two weeks per month (approximately 50% travel / 50% office-based)

In-depth understanding of SRO, federal, and state regulations regarding broker-dealers and RIAs

Strong written and verbal communication skills

Excellent organizational skills, including planning trips and booking travel

Working knowledge of Microsoft Word and Excel

Ability to work effectively with registered representatives and principals in the field

Independent, self-motivated, and proactive

Preferred

Field audit experience is preferred

Understanding of the independent broker-dealer model (preferred)

Benefits

Free on-site fitness center

Company-paid medical insurance

401(k) matching

Market-level compensation, based on experience

Company

Independent Financial Group, LLC

Independent Financial Group, LLC is a securities and investment firm offering personalized services to individuals and institutional investors through our team of independent financial professionals.

Founded in 2003

San Diego, California, USA

51-200 employees