Position Overview:
Leon Capital Group (LCG) is seeking a General Counsel to lead the legal, regulatory, and transactional functions for a number of business entities within its Financial Services Group (“FSG”), including its RIA, insurance, and reinsurance businesses.
This is a senior leadership role with direct exposure to the CEO, FSG President, and executive team, designed for a lawyer who operates as a strategic advisor, regulatory expert, and business partner.
The General Counsel will be responsible for ensuring the FSG is structurally sound, regulator-ready, and positioned to scale, while enabling the business to move with speed and confidence.
This role is particularly well-suited for an attorney with deep experience in:
- Registered Investment Adviser (RIA) regulation and SEC oversight
- Insurance/Reinsurance legal and regulatory frameworks
- Operating within complex, multi-entity financial platforms
Key Responsibilities:
Regulatory & Compliance Leadership:
- Lead all legal and regulatory matters for the FSG, including RIA and insurance/reinsurance entities.
- Design, implement, and continuously refine compliance frameworks aligned with SEC and state regulatory requirements.
- Oversee preparation for and response to SEC examinations, regulatory inquiries, and audits.
- Ensure adherence to the Investment Advisers Act and related fiduciary and disclosure obligations.
- Serve as the primary point of contact with regulators, including the SEC, FINRA, and state insurance authorities.
Legal Strategy & Business Operations:
- Act as a trusted advisor to executive leadership, integrating legal considerations into strategic and operational decisions.
- Provide practical, business-oriented counsel that enables growth while managing risk.
- Support the structuring and launch of new products, vehicles, and entities across the FSG.
- Advise on governance, fiduciary responsibilities, and enterprise risk management.
Transactional Support:
- Lead legal oversight of transactions across credit, insurance, and investment activities within the FSG.
- Review and structure complex agreements, ensuring alignment with regulatory requirements and commercial objectives.
- Partner with investment and operating teams to facilitate execution, not impede it.
Governance & Risk Management:
- Establish and maintain strong corporate governance practices across FSG entities.
- Identify and mitigate legal, regulatory, and reputational risks.
- Oversee internal policies, procedures, and training to ensure a culture of compliance.
- Manage disputes, investigations, and litigation in coordination with external counsel.
External Counsel & Resource Management:
- Oversee and optimize relationships with outside counsel.
- Drive efficiency, quality, and accountability across external legal resources.
- Determine when to build internally vs. outsource.
Platform Build & Infrastructure:
- Build and scale the legal and compliance function supporting the FSG.
- Partner with leadership to support expansion into new products, geographies, and regulatory regimes.
- Ensure infrastructure keeps pace with business complexity and growth.
Qualifications:
Required:
- JD from an accredited law school; active bar membership.
- 10+ years of legal experience, with significant exposure to financial services.
- Deep expertise in RIA regulation, SEC compliance, and investment adviser frameworks.
- Experience engaging directly with regulators, examinations, and enforcement matters.
- Strong understanding of corporate governance and compliance program design.
Preferred:
- Experience in insurance and/or reinsurance regulatory environments.
- Background supporting multi-entity or platform-based businesses.
- In-house experience within an investment manager, financial institution, or insurance platform.
