Chief Compliance Officer (CCO) Greater Houston, TX Area

The Company is seeking a hands-on Chief Compliance Officer to lead and administer its investment adviser compliance program. Responsibilities include conducting daily reviews and approvals, monitoring and testing, risk assessments, and the annual compliance review; documenting findings and tracking remediation; and maintaining required records, filings, and disclosures. The CCO will review trading and investment practices, investigate complaints and potential violations, coordinate regulatory examinations and audits, and develop and deliver compliance training. The role also involves advising leadership and staff, coordinating with external and internal compliance stakeholders, and reporting risks and program effectiveness. Candidates must have a bachelor’s degree in business, finance, law, or a related field, at least seven years of relevant financial services compliance, supervision, or risk experience, and substantial responsibility for an investment adviser compliance program. Required qualifications include Series 7, Series 66 (or Series 63 and 65), and Series 24 (or Series 9/10), along with strong knowledge of SEC investment adviser and broker-dealer supervisory requirements. Applicants should be able to independently manage and execute complex compliance work, with experience in reviews, testing, investigations, examinations, and remediation. Strong analytical, communication, organizational, documentation, and judgment skills, as well as proficiency with Microsoft Office and compliance systems, are required.

Hiring Company

Intrua Financial, LLC