Integrated Financial Partners (San Diego, CA or Waltham, MA) Seeking Compliance Professional to Join the Team

Hybrid RIA seeking compliance professional to join the team

Location: San Diego, CA or Waltham, MA

Established in 1996, IFP’s National presence represents nearly 150 financial advisors and more than 35 offices across the country.  IFP primarily serves high-net-worth individuals and business owners bringing a comprehensive approach to wealth management with its roots in financial planning. Based in Waltham, MA, the firm operates its registered investment adviser under the name Integrated Wealth Concepts.

 Responsible for enhancement of existing, and development of new compliance programs.
 Develop effective risk and regulatory management strategies.
 Oversee testing, surveillance, examinations and regulatory filings.
 Connect with external auditors and regulatory agencies in addition to maintaining the firm’s CRD.
 Performing supervisory review of marketing material for compliance with applicable regulations.
 Reviewing, assessing and reporting policy and procedure breaches and near-misses, and coordinating, implementing and/or developing remediation
 Providing insight on industry best practice on regulatory and governance matters, assisting in resolving sales practice-related issues.
 Experience in monitoring and/or surveillance, whether directly or in a supervisory role.
 Strong understanding of industry standards, compliance operating and regulatory requirements, such as SEC, FINRA and state financial regulators and AML program responsibilities.
 Strong working knowledge of Marketing and Social Media compliance rules and responsibilities
 Support the state licensing and onboarding process for all licensed persons
 Excellent oral and written communication skills and the ability to interact at a senior level, both internally and externally.
 Conduct employee training.

Qualifications:

  • Bachelor’s Degree Required
  • 5+ years compliance experience with an investment management or financial services organization
  • Series 7, 24 and 66 Licenses
  • Salary commensurate with experience.

Applicants can send resumes to operations@ifpadvisor.com