Chief Compliance Officer

Larson Financial Holdings•Houston, TX

23h

About The Position

Intrua Financial LLC, an SEC-registered investment adviser within the Larson Financial Holdings (LFH) network of companies, is seeking an experienced Chief Compliance Officer to lead and execute its compliance program. The position reports to LFH’s Vice President of Compliance and works closely with Intrua leadership and the broader LFH compliance function. This hands-on leadership role has no direct support staff; the CCO sets compliance priorities and personally handles daily reviews, monitoring, testing, documentation, training, and follow-up. The CCO serves as Intrua’s primary compliance liaison with LPL Financial, its broker-dealer, coordinating responses, resolving issues, and helping advisors and associates understand and satisfy applicable LPL requirements. The role calls for independent judgment, practical guidance, ownership of issues through resolution, and coordination with LFH’s VP of Compliance on significant risks, escalations, and broader initiatives. The position offers the opportunity to shape Intrua’s compliance program while working across the LFH network. The CCO partners with firm leadership, advisors, LFH compliance colleagues, and LPL to support responsible growth, strengthen controls, and address practical business challenges. Compensation includes a competitive base salary commensurate with experience, an annual performance bonus, and meaningful long-term incentive participation. Benefits include health, dental, and vision coverage, a 401(k) with employer match, and other firm benefits.

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 in handling sensitive information, competing priorities, and matters requiring escalation.
Proficiency with Microsoft Office and compliance-related systems and tools.
Integrity, confidence, adaptability, attention to detail, and a sense of humor.

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 of 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.
Report compliance risks, findings, remediation, and program effectiveness to Intrua leadership and LFH’s VP of Compliance.
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.