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© All Rights Reserved. ApplyBlast.com
Independent Financial Group LLC
The Compliance Officer supports the firm's broker-dealer and investment adviser compliance programs through surveillance, testing, regulatory reviews, and general oversight. This role works across multiple compliance disciplines to ensure adherence to SEC, FINRA, state regulatory, and firm rules while mitigating regulatory risk. The position offers exposure to both broker-dealer and registered investment adviser compliance functions with opportunities for professional growth.
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
View leadership team, funding history,
and employee contacts for Independent Financial Group LLC.