Compliance Officer
Independent Financial Group, LLC
RemoteFull timeMid level$90,000-$105,000Posted today
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Independent Financial Group, LLC
This role serves as a key member of the Compliance Department, working across multiple compliance disciplines to help ensure adherence to SEC, FINRA, state regulatory, and firm rules and requirements. The Compliance Officer supports the firm's broker-dealer and investment adviser compliance programs through surveillance, testing, regulatory reviews, branch inspections, advertising review, and general compliance oversight activities. The position provides exposure to both broker-dealer and registered investment adviser compliance functions and offers opportunities for professional growth within the organization.
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Independent Financial Group, LLC (IFG) is a privately held independent wealth management provider based in San Diego, California. Founded in 2003, IFG supports more than 600 independent financial professionals in over 400 offices nationwide. In 2025, Financial Advisor magazine listed IFG as the 15th largest national independent broker-dealer and #2 for privately held broker-dealers based on gross revenue. Financial Planning ranked IFG 1st for women as a percentage of producing representatives in 2025 and 7th for financial advisor payout in 2024. InvestmentNews ranked the firm in the top 10 for payout and account assets in 2024. IFG is an eight-time honoree on the Inc. 5000 list of "Fastest-Growing Private Companies in the US," and the San Diego Business Journal ranked IFG #7 among the Largest Private Companies in San Diego in 2022 and 2023.