Chief Compliance Officer - Hands-On Leader, RIA/LPL Compliance
intrua financialHouston, TX
Chief Compliance Officer - Hands-On Leader, RIA/LPL Compliance
intrua financialHouston, TX
today
Industries
Portfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesMiscellaneous IntermediationAbout the role
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.
Matching similar jobs
JOB OVERVIEW
Experience level
Director
Location
Houston, TX
Occupation
Compliance Managers
Industry
Portfolio Management and Investment Advice
Posted
today
Tired of running searches?
Rank the roles you'd take once, and matches like these arrive on their own.
CREATE PROFILE (opens in a new tab)