Strategic Chief Compliance Officer - Lead & Elevate

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

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.