Address
Form of workIndependent Financial Group (IFG) is looking for an organized Branch Inspector with great attention to detail to fill a position within our San Diego, CA Home Office location or remotely from the east coast. IFG, America's Finest Broker-Dealer, is an independent broker-dealer based in San Diego, California with 700 representatives located in over 400 offices across 40 states. IFG has been named locally by the San Diego Business Journal as one of San Diego's Fastest-Growing Private Companies for the past several years. Nationally, IFG's success has been recognized in numerous financial services industry publications and received the # 1 ranking in Wealth Management Magazine's Independent Broker-Dealer Report Card in 2017 and has won Runner-Up Broker-Dealer of the Year as named by Investment Advisor Magazine in 2016 and 2017. IFG has also gained Inc. Magazine's Honor Roll status for multiple consecutive mentions on their annual Inc. 500|5000 list.
Job Duties
- Scheduling, prepping and completion of virtual and on-site branch office examinations.
- 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
- Bachelor's Degree in a business or other related field
- Series 7 and 63 required for hiring, Series 24 within one-year
- One to three years' branch audit experience (other equivalent compliance or supervision experience will be considered but candidates with field audit experience will be given preference)
- Clean driving record
- Clean U4
- Ability to travel/be away for up to one week at a time and up to two-weeks per month (position will be roughly 50/50 between travel and office)
- In-depth understanding of SRO, federal and state regulations regarding broker-dealers and RIAs
- Strong written and verbal communication skills
- Ability to work well with registered representatives and principals in the field
- Strong organizational skills (including the ability to plan trips and book travel)
- Working knowledge of Microsoft Word and Excel
- Independent, self-motivated, self-starter
- Understanding of the independent broker-dealer model preferred
- Market-level compensation based on experience. IFG offers a competitive benefits package with Company-paid Medical, Dental, and Vision, and 401k matching.
