Chief Compliance Officer - Hands-On Leader, RIA/LPL Compliance

Intrua Financial, LLC; Houston (TX); On-site; USD 180,000 - 260,000; Full time

Benefits offered by this job

Annual performance bonus

Long‑term incentive participation

Health, dental, vision benefits

401(k) with employer match

Job summary

Intrua Financial LLC, an SEC-registered adviser within the LFH network, seeks a hands-on Chief Compliance Officer to lead the program and personally execute daily reviews, monitoring, testing, and training. You will act as the primary liaison with LPL and coordinate with LFH to manage risk and regulatory obligations.

You will report to LFH’s VP of Compliance and work with leadership to elevate controls, handle investigations, and deliver practical guidance across the organization.

Qualifications

• Bachelor’s degree in business administration, finance, law, or a related field.
• At least seven years of financial services compliance experience with responsibility for an investment adviser program.
• Series 7, 66—or 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, regulatory examinations, and remediation.
• Strong analytical, investigative, organizational, and documentation skills.
• Ability to communicate clear expectations and hold others accountable.
• Proficiency with Microsoft Office and compliance‑related systems.

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.
• Serve as Intrua’s primary compliance contact with LPL, coordinating inquiries, addressing deficiencies, 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 client mandates/disclosures.
• Maintain required compliance records, regulatory filings, disclosures, and supporting documentation.
• Coordinate regulatory examinations, external audits, and internal reviews; gather records and manage remediation.
• Investigate complaints, potential violations, and other compliance concerns; escalate as needed.
• Develop and deliver practical compliance training for advisors, employees, and management.
• Provide clear reporting to Intrua leadership and LFH’s VP of Compliance on risks, findings, remediation, and program effectiveness.
• Coordinate with LFH compliance to implement shared standards and address Intrua’s obligations.
• Perform supervisory principal or subject matter responsibilities as applicable.
• Other duties as assigned.

Skills

Leadership

Regulatory knowledge

Communication

Education

Bachelor's degree in business administration, finance, law

Tools

Microsoft Office

Compliance systems

Job description

Intrua Financial LLC, an SEC-registered adviser within the LFH network, seeks a hands-on Chief Compliance Officer to lead the program and personally execute daily reviews, monitoring, testing, and training. You will act as the primary liaison with LPL and coordinate with LFH to manage risk and regulatory obligations.

You will report to LFH’s VP of Compliance and work with leadership to elevate controls, handle investigations, and deliver practical guidance across the organization.