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Larson Financial Holdings

Chief Compliance Officer

Regulatory Compliance & EthicsConfirmed live in the last 24 hours
Full-timeHouston, TX, USAIn-person

About the Job

Requirements

  • A bachelor's degree in business administration, finance, law, or a related field.
  • At least seven years of relevant experience in financial services compliance, supervision, risk management, or a related function, including substantial responsibility for an investment adviser compliance program.
  • Series 7 and Series 66, or Series 63 and Series 65, and Series 24 or Series 9/10.
  • Strong working knowledge of SEC investment adviser requirements and applicable broker-dealer supervisory requirements.
  • Ability to independently manage compliance responsibilities and personally execute routine and complex compliance work.
  • Experience conducting compliance reviews, testing, investigations, regulatory examinations, and remediation.
  • Strong analytical, investigative, organizational, and documentation skills.
  • Ability to communicate clear expectations, address difficult issues professionally, and hold others accountable.
  • Sound judgment when handling sensitive information, competing priorities, and matters requiring escalation.
  • Proficiency with Microsoft Office and compliance-related systems and tools.

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 through completion.
  • Serve as Intrua’s primary compliance contact with LPL, including coordinating inquiries, addressing deficiencies, resolving supervisory and operational compliance issues, 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 adherence to client mandates and disclosures.
  • Maintain required compliance records, regulatory filings, disclosures, and supporting documentation.
  • Coordinate regulatory examinations, external audits, and internal reviews, including gathering records, preparing responses, and managing remediation.
  • Investigate complaints, potential violations, and other compliance concerns; escalate significant matters promptly to LFH’s Vice President of Compliance and appropriate leadership.
  • Develop and deliver practical compliance training for advisors, employees, and management.
  • Provide clear reporting to Intrua leadership and LFH’s Vice President of Compliance on compliance risks, findings, remediation, and program effectiveness.
  • Coordinate with the broader LFH compliance function to implement shared standards and initiatives while addressing Intrua’s specific business and regulatory obligations.
  • Perform designated supervisory principal or subject matter responsibilities, as applicable to licensing, registration, and assigned duties.
  • Perform other duties as assigned.

Desired Qualifications

  • Experience overseeing active trading strategies, including related trade surveillance, conflicts, allocation practices, and supervisory controls.
  • Experience working with LPL Financial, including its compliance processes, supervisory structure, and technology.
  • Prior experience as an RIA Chief Compliance Officer or in a comparable role with independent program responsibility.
  • Experience working within an affiliated group of financial services companies.
  • Experience with private equity, private placements, variable insurance, or other complex products.
  • An advanced degree or professional certification such as CRCP, IACCP, CFE, CRM, or CAMS.
  • Series 53, Series 51, or life and health insurance licensing.

About the Company

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