Supervisory Principal

Description

IFG is looking for a dynamic Supervisory Principal to join our growing team and help shape the future of independent financial services. This is your opportunity to play a key role in guiding top-tier financial advisors while ensuring the highest standards of supervision and regulatory compliance. If you're ready to make an impact in a fast-paced, rewarding environment, we want to hear from you!

 Founded in 2003, IFG provides an array of business solutions supporting more than 482 independent financial professionals across 372 offices nationwide. IFG was named among the “Fastest Growing Private Companies in the US” by Inc. 5000 in 2020, for the eighth time since 2010. San Diego Business Journal ranked IFG #7 among the Largest Private Companies in San Diego in 2022. IFG was ranked 19th Independent Broker-Dealer based off revenue in 2023 by Financial Planning Magazine. In 2024, IFG was ranked 16th largest among national independent broker-dealers by Financial Advisor Magazine, based on revenue.

Job Duties:

• Conduct thorough and effective reviews of transactional business and activities.
• Monitor and review various trade blotters and reports.
• Provide training to advisors and their teams on IFG policies and procedures.
• Build and maintain positive working relationships with advisors, grounded in trust and respect.
• Collaborate with internal departments to address and resolve advisor inquiries.
• Assist with special projects and other duties as assigned.

Qualifications

Education and Experience

• Series 7, 24, 63, and 65 (or S66) are required.
• CA Life Insurance license preferred.
• 5 years of experience in the financial industry, with a focus on supervisory oversight of registered representatives.

Skills & Competencies

• In-depth understanding of FINRA regulations.
• Strong background in supervision, with an emphasis on suitability analysis.
• Excellent written and verbal communication skills.
• Ability to multi-task and prioritize responsibilities efficiently.
• Detail-oriented with a keen focus on accuracy.
• Proficiency in Microsoft Office Suite.
• Knowledge of retirement accounts, including recent DOL Fiduciary Rule.

Compensation

• IFG offers a competitive benefits package including free on-site fitness center, company-paid medical insurance, 401(k) matching, and market-level compensation, based on experience.

Salary : $80,000 - $100,000