Chief Compliance Officer

Intrua Financial LLC, an SEC-registered investment adviser within the Larson Financial Holdings (“LFH”) network of companies, is seeking an experienced Chief Compliance Officer to lead and execute its compliance program. This position reports to LFH’s Vice President of Compliance and works closely with Intrua’s leadership and the broader LFH compliance function.

This is a hands-on leadership role with no direct support staff. The CCO is responsible for both setting compliance priorities and personally completing the daily reviews, monitoring, testing, documentation, training, and follow-up needed to maintain an effective program. Candidates should be comfortable moving between advising senior leadership and working through individual compliance matters.

Intrua uses LPL Financial as its broker-dealer. The CCO will serve as Intrua’s primary compliance liaison with LPL, coordinating responses, resolving issues, and helping advisors and associates understand and satisfy applicable LPL requirements.

The successful candidate will exercise independent judgment, provide practical guidance, and take ownership of issues through resolution while coordinating with LFH’s VP of Compliance on significant risks, escalations, and broader compliance initiatives.

Key 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 VP 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 VP 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.
• Other duties as assigned.