Chief Compliance Officer

Larson Financial Group; Houston (TX); On-site; USD 150,000 - 230,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

401(k) with employer match

Job summary

Intrua Financial LLC, part of the Larson Financial Holdings network, seeks a Chief Compliance Officer to lead and execute its compliance program with no direct staff. You will guide the program, perform daily reviews, and coordinate with LFH on risk and initiatives.

You will act as the primary liaison with LPL for regulatory requirements and work closely with leadership to resolve issues and build a strong, practical compliance culture across the affiliate.

Qualifications

• Bachelor’s degree in business administration, finance, law, or related field.
• 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 broker-dealer supervision.
• Ability to independently manage compliance responsibilities and execute routine and complex work.
• Experience with compliance reviews, testing, examinations, and remediation.

Responsibilities

• Develop, implement, and administer Intrua’s investment adviser compliance program, policies, and procedures.
• Perform daily compliance reviews and approvals of advisory accounts, disclosures, and marketing materials.
• Coordinate regulatory examinations, external audits, and internal reviews; manage remediation.
• Serve as primary liaison with LPL and support advisors and associates on regulatory requirements.
• Provide practical compliance training and report risk findings to leadership.

Skills

Regulatory licenses

SEC investment adviser rules

Compliance leadership

Communication and documentation

Education

Bachelor’s degree in business administration, finance, law, or related field

Tools

Microsoft Office

Compliance software/tools

Job description

Description

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. This position reports to LFH’s Vice President of Compliance and works closely with Intrua’s leadership and the broader LFH compliance function.

This is a hands-on leadership role with no direct support staff. The CCO is responsible for both setting compliance priorities and personally completing the daily reviews, monitoring, testing, documentation, training, and follow-up needed to maintain an effective program. Candidates should be comfortable moving between advising senior leadership and working through individual compliance matters.

Intrua uses LPL Financial as its broker-dealer. The CCO will serve as Intrua’s primary compliance liaison with LPL, coordinating responses, resolving issues, and helping advisors and associates understand and satisfy applicable LPL requirements.

The successful candidate will exercise independent judgment, provide practical guidance, and take ownership of issues through resolution while coordinating with LFH’s VP of Compliance on significant risks, escalations, and broader compliance initiatives.

Key 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, including coordinating inquiries, addressing deficiencies, resolving supervisory and operational compliance issues, and tracking outstanding items.
• Help advisors and associates navigate applicable 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; elevate significant matters promptly 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.
• Other duties as assigned.

Requirements

Required Qualifications and Experience:

• 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.

Preferred Qualifications

• 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.

What Success Looks Like

• You take ownership of both the compliance program and the work required to run it.
• You work independently while keeping LFH’s VP of Compliance informed and escalating material issues promptly.
• You give practical, well-supported guidance and follow issues through resolution.
• You build productive relationships with advisors, leadership, LFH colleagues, and LPL while maintaining clear compliance expectations.
• You bring integrity, confidence, adaptability, attention to detail, and a sense of humor.

Why Join Intrua?

This role offers the opportunity to directly shape Intrua’s compliance program while working within the broader Larson Financial Holdings network. You will partner with firm leadership, advisors, and LFH compliance colleagues to support responsible growth, strengthen controls, and solve practical business challenges.

Compensation and Benefits

• Competitive base salary commensurate with experience, annual performance bonus, and meaningful long‑term incentive participation.
• Comprehensive benefits package, including health, dental, vision, a 401(k) with employer match, and other firm benefits.