Compliance & Legal
IFP believes in providing a balanced approach to compliance oversight. This means we strive to keep your firm compliant while maintaining an open mind.
New Age Compliance Technology
Our firm leverages Beam Solutions (“Beam”) for AML supervision and trade surveillance. Beam goes beyond current legacy compliance systems by leveraging machine learning and AI to monitor financial professionals and client activities.
Solutions and Context
Rather than giving a blanket denial, we attempt to find an amicable solution to your request. If we can’t, we will provide the rationale and regulation, where applicable, that support our decision. We believe that the word “no” should be our last resort.
Customized Compliance and Logical Guidelines
Large firms often rely on broad surveillance rules that put every financial professional in the same box. IFP strives to provide individualized compliance oversight, allowing you to spread your wings while remaining compliant.
Legal Resources
Financial professionals have a number of legal needs for their clients. To address this, we’ve created a 'Bank of Experts' consisting of estate planners, trustees, and ERISA attorneys at pre-negotiated hourly rates. When you need help, we’ve got you covered.
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IFP Compliance Support
The IFP compliance department provides regulatory oversight to our network of financial professionals through an educational approach.
Keith Kessel
Chief Compliance Officer
Rowena Ferry
Senior Associate, Registration & Licensing
Betty MacDonald
Senior Associate, Compliance
Maria Tanner
Senior Associate, Compliance
Lindsey Michel
Senior Associate, Compliance
Jennifer Johnson
Senior Associate, Compliance
Thomas Newberg
Associate, Compliance
Christine Kelleher-Guerroro
Associate, Compliance
Misty Sampson
Associate, Compliance