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

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

intrua financialHouston, TX

yesterday

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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

Apply for this role (opens in a new tab)