Chief Compliance Officer

Intrua Financial, LLC • Houston, TX

2d

About The Position

Intrua Financial LLC, an SEC-registered investment adviser within the Larson Financial Holdings (LFH) network, is seeking an experienced Chief Compliance Officer to lead and execute its compliance program. The role reports to LFH’s Vice President of Compliance and works closely with Intrua leadership and the broader LFH compliance function.

This is a hands-on leadership position with no direct support staff. The CCO sets compliance priorities and personally performs daily reviews, monitoring, testing, documentation, training, and follow-up. The role involves advising senior leadership as well as managing individual compliance matters.

Intrua uses LPL Financial as its broker-dealer. The CCO serves as Intrua’s primary compliance liaison with LPL, coordinating responses, resolving issues, and helping advisors and associates understand and meet applicable LPL requirements. The position requires independent judgment, practical guidance, ownership of issues through resolution, and coordination with LFH’s VP of Compliance on significant risks, escalations, and broader compliance initiatives.

Requirements

• Bachelor’s degree in business administration, finance, law, or a related field.
• At least seven years of relevant experience in financial services compliance, supervision, risk management, or a related function, including substantial responsibility for an investment adviser compliance program.
• Series 7, Series 66—or Series 63 and 65—and Series 24 or Series 9/10.
• Strong working knowledge of SEC investment adviser requirements and applicable broker-dealer supervisory requirements.
• Demonstrated ability to independently manage compliance responsibilities and personally execute routine and complex compliance work.
• Experience conducting compliance reviews, testing, investigations, regulatory examinations, and remediation.
• Strong analytical, investigative, organizational, and documentation skills.
• Ability to communicate clear expectations, address difficult issues professionally, and hold others accountable.
• Sound judgment when handling sensitive information, competing priorities, and matters requiring escalation.
• Proficiency with Microsoft Office and compliance-related systems and tools.

Nice To Haves

• Experience overseeing active trading strategies, including related trade surveillance, conflicts, allocation practices, and supervisory controls.
• Experience working with LPL Financial, including its compliance processes, supervisory structure, and technology.
• Prior experience as an RIA Chief Compliance Officer or in a comparable role with independent program responsibility.
• Experience working within an affiliated group of financial services companies.
• Experience with private equity, private placements, variable insurance, or other complex products.
• Advanced degree or professional certification such as CRCP®, IACCP®, CFE, CRM, or CAMS.
• Series 53, Series 51, or life and health insurance licensing.

Responsibilities

• Develop, implement, maintain, and personally administer Intrua’s investment adviser compliance program, policies, and procedures.
• Perform daily compliance reviews and approvals, including advisory account documentation, advertising and marketing materials, disclosures, and other business activities.
• Conduct compliance monitoring, testing, risk assessments, and the annual compliance review; document findings and track corrective actions through completion.
• Serve as Intrua’s primary compliance contact with LPL, coordinating inquiries, addressing deficiencies, resolving supervisory and operational compliance issues, and tracking outstanding items.
• Help advisors and associates navigate regulatory requirements, Intrua policies, and LPL requirements.
• Review trading activity and investment practices for compliance concerns, including conflicts of interest, personal trading, allocation practices, and adherence to client mandates and disclosures.
• Maintain required compliance records, regulatory filings, disclosures, and supporting documentation.
• Coordinate regulatory examinations, external audits, and internal reviews, including gathering records, preparing responses, and managing remediation.
• Investigate complaints, potential violations, and other compliance concerns; promptly escalate significant matters to LFH’s VP of Compliance and appropriate leadership.
• Develop and deliver practical compliance training for advisors, employees, and management.
• Provide clear reporting to Intrua leadership and LFH’s VP of Compliance on compliance risks, findings, remediation, and program effectiveness.
• Coordinate with the broader LFH compliance function to implement shared standards and initiatives while addressing Intrua’s specific business and regulatory obligations.
• Perform designated supervisory principal or subject matter responsibilities, as applicable to licensing, registration, and assigned duties.
• Perform other duties as assigned.

Benefits

• Competitive base salary commensurate with experience.
• Annual performance bonus.
• Meaningful long-term incentive participation.
• Health insurance.
• Dental insurance.
• Vision insurance.
• 401(k) with employer match.
• Other firm benefits.

What This Job Offers

• Job Type: Full-time
• Career Level: Executive