Operations New Accounts Principal

## Description

Independent Financial Group (IFG) is seeking a **New Accounts Principal** to oversee and approve new client account openings. This role ensures a smooth onboarding process, operational efficiency, and regulatory compliance while delivering exceptional service to advisors and their clients. The ideal candidate is detail-oriented, accurate, and experienced in financial operations and account onboarding. This position is based onsite in San Diego.

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 with a comprehensive suite of business solutions. IFG has been widely recognized as a leading independent broker-dealer. 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.

**Job Duties:**

• Review and approve new account documentation for accuracy, completeness, and regulatory compliance.
• Partner with Operations leadership, Supervision, and Compliance to resolve issues or exceptions.
• Monitor accounts for potential red flags or suspicious activity and escalate as appropriate.
• Stay current on industry regulations, firm policies, and updates that impact account opening.
• Maintain and update procedure guides to ensure adherence to internal policies and regulatory requirements.
• Deliver a high standard of service to IFG investment professionals and their staff by assisting with client account inquiries.
• Build and maintain positive relationships with advisors, their staff, and internal departments, grounded in trust and collaboration.
• Communicate clearly and professionally in all phone and email interactions.

## Qualifications
**Qualifications:**
**Education and Experience**

• 3+ years of prior industry experience required.
• FINRA Series 7 and 24 licenses required.

**Key Attributes**

• Strong attention to detail with the ability to thoroughly review and identify discrepancies in account documentation.
• Capable of evaluating and escalating potential risks and red flags.
• Proven ability to manage a high volume of account approvals while maintaining accuracy and compliance.
• Performs effectively under pressure and meets tight deadlines with consistency.
• Collaborative mindset with a focus on building strong partnerships across departments.

**Desired Skills**

• Excellent oral, written, and organizational communication skills.
• Resourceful problem-solver with the ability to quickly address documentation or process issues.
• Strong prioritization and time-management skills, maintaining quality in a fast-paced environment.

**Compensation**

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