intrua financialHouston, TX
Chief Compliance Officer - Hands-On Leader, RIA/LPL Compliance
Chief Compliance Officer - Hands-On Leader, RIA/LPL Compliance
Chief Compliance Officer - Hands-On Leader, RIA/LPL Compliance
intrua financialHouston, TX
yesterday
Portfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesMiscellaneous Intermediation
Apply for this role (opens in a new tab)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.
Also on the board Same function, level within a rung
Level
Director
Location
Houston, TX
Occupation
Compliance Managers
Industry
Portfolio Management and Investment Advice
Posted
yesterday