Sales Supervision Principal

Sales Supervision Principal


Founded in 2000 by CEO William Hamm, Jr., CFA, CFP®, CLU®, Independent Financial Partners (“IFP”) is a privately-held, family-owned SEC Registered Investment Adviser firm and Broker Dealer based in Tampa, Florida. IFP is focused on delivering personalized, concierge-level service to its 500 advisors nationwide who specialize in wealth management and retirement plan consulting.

IFP’s mission is to improve the lives of our advisors and their clients by providing the tools and support needed for our Advisors to maintain and grow their practices, including forward thinking compliance the industry’s most innovative technology, multi-faceted back office support, and a commitment to continuously improving our value proposition.

IFP seeks a Supervisory Analyst or Senior Supervisory Analyst to join a dynamic team in the development and implementation of the IFP’s supervisory system for the B/D and the RIA.

Responsibilities include:

  • Assist in developing processes and procedures to ensure adherence to supervision requirements as required by FINRA, SEC, State and other regulators
  • Implementation of a supervision exception reporting processes and determining corrective actions
  • Monitoring the sales practice activities of IFP’s advisors
  • Review and approve client new account documentation and trade blotters
  • Conduct suitability review of customer trading activity, mutual funds, variable annuity and equities, ensuring compliance with all internal procedures and industry regulations
  • Analysis of complex suitability reviews to detect trends, trading patterns, and rules violations, guaranteeing adherence to securities industry regulations and limiting firm liability
  • Monitoring IFP Advisor’s trading activity, reporting findings, and managing concerns
  • Monitoring IFP Advisor’s electronic and written correspondence
  • Resolves IFP Advisor’s concerns by researching details, identifying most efficient method of handling the concern, and evaluating risks to all parties before resolving
  • Evaluates possible solutions to complex problems, prioritizing, and refining those solutions
  • Builds and maintains a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies)
  • Educates and train internal and external team members by determining needs, providing various alternatives of action, and explaining specifics of each product or service
  • Interpreting, applying, and recommending changes to organizational policies and procedures.
  • Other duties as assigned

Skills, Experience and Qualifications:

  • Bachelor degree or equivalent work experience
  • 3 – 7 years of experience in compliance and/or operations role with a B/D and/or RIA
  • FINRA Series 7, 24, 53 preferred.
  • Knowledge of Investment Advisers Act, FINRA, SEC, state securities and investment adviser rules and regulations
  • Ability to multi-task, work well under pressure and function in a fast-paced environment
  • Strong organizational, communication, written and interpersonal skills
  • A positive and service orientated attitude
  • Intuitive, energetic, and self-motivated with a high bias for action
  • Strong aptitude for technology and familiarity with standard Regulatory software packages
  • Proficiency in Microsoft Word, Outlook, and intermediate/advanced Microsoft Excel knowledge
  • Ability to work additional hours as needed

IFP offers a comprehensive employee benefits package including:

  • 401(k)
  • Performance Bonuses (potential bonus benefit when qualified)
  • Health Insurance
  • Paid Time Off

Ensuring a diverse and inclusive environment where we learn from each other is core to IFP’s values. We welcome people of diverse backgrounds, experiences, abilities and perspectives. We are an equal opportunity employer and a fun place to work. Come do the best work of your life here at IFP.

Application Process:

TO BE CONSIDERED FOR AN INTERVIEW: Please tell us more about yourself with a cover letter along with your most recent resume.

Please email your resume and a cover letter in PDF format to: Karen Hamm, Chief Administrative Officer, at [email protected]