About Hondo Holdings
Hondo Holdings is a diversified holding company building a robust and interconnected financial ecosystem. Our platform includes a full-service financial firm, a next-generation energy infrastructure business, private equity investments, a mortgage company, and other synergistic enterprises. We focus on identifying marginally efficient businesses that align with our strategic initiatives, leveraging deep investment and operational expertise to create sustainable value across finance, lending, and adjacent sectors.
Position Overview
Hondo Holdings is seeking an experienced and versatile legal and compliance professional to serve as SVP, Legal and Compliance. This is a high-visibility, hands-on role at the center of a dynamic and growing financial platform. The successful candidate will oversee all compliance functions across our registered investment advisor (RIA) and broker-dealer (BD) — working in close partnership with the firm’s outside compliance consultant — while simultaneously managing the day-to-day corporate legal needs of the broader enterprise, including contract review, negotiation, drafting, and administration.
This role is well-suited for a pragmatic attorney or senior compliance professional who is comfortable serving as both a strategic advisor to leadership and an active practitioner in a lean, entrepreneurial environment.
Key Responsibilities
Corporate Legal & Contract Administration
• Review, draft, negotiate, and manage a wide range of commercial contracts including vendor agreements, service agreements, NDAs, partnership arrangements, and intercompany agreements.
• Establish and administer contract management processes and tracking systems across the enterprise.
• Provide practical, business-oriented legal guidance to leadership on transactional, operational, and strategic matters.
• Coordinate with outside counsel on complex matters, M&A transactions, and litigation as they arise.
• Support corporate governance functions including entity maintenance, board documentation, and corporate resolutions.
• Advise on employment matters, real estate, insurance, and other general corporate legal issues as needed.
Compliance — Registered Investment Advisor & Broker-Dealer
The firm engages an outside compliance consultant to support its RIA and broker-dealer compliance programs. The SVP, Legal and Compliance will serve as the primary internal owner of this relationship, directing the consultant’s work and ensuring compliance objectives are met. Responsibilities include:
• Serve as the firm’s primary internal compliance officer, overseeing and directing the outside compliance consultant across all RIA and broker-dealer compliance matters, to include marketing and sales materials review.
• Serve as the internal point of contact for regulatory filings, Fund audits, examinations, and correspondence with FINRA, NFA, CIMA and the SEC, and other applicable regulators. This requires gathering and organizing data from multiple sources. Then formatting and uploading the appropriate regulator on a timely basis.
• Manage the consultant relationship to ensure timely completion of annual compliance reviews, testing, and risk assessments.
• Oversee the development and maintenance of written supervisory procedures (WSPs) and compliance policies, working through the consultant where appropriate.
• Monitor regulatory developments and direct the consultant to update policies and procedures accordingly.
• Coordinate internal compliance training programs with support from the outside consultant.
• Oversee AML/KYC programs and ensure adherence to applicable financial crimes requirements.
• Evaluate the scope and performance of the consultant relationship on an ongoing basis and recommend adjustments as the firm grows.
Qualifications
Required
• J.D. from an accredited law school; active bar admission in good standing.
• 5+ years of combined experience in securities compliance and corporate legal roles, with meaningful exposure to both RIA and broker-dealer regulatory frameworks.
• Demonstrated experience in a senior compliance capacity at a registered investment advisor or broker-dealer, including familiarity with CCO-level responsibilities.
• Experience managing or coordinating with outside compliance consultants or regulatory counsel.
• Hands-on contract drafting and negotiation experience across a variety of commercial agreement types.
• Deep familiarity with the Investment Advisers Act, Securities Exchange Act, and relevant SEC and FINRA rules.
• Exceptional organizational skills and ability to manage multiple priorities in a fast-paced environment.
Preferred
• Experience supporting a multi-entity holding company or diversified financial services platform.
• Background in specialty finance, asset-based lending, private equity, or energy finance.
• Familiarity with mortgage company compliance requirements.
• FINRA licenses are a plus.
• Comfort operating as a generalist without the support of a large in-house legal department.
Benefits
• Competitive compensation including base salary and performance-based incentive.
• Comprehensive health, dental, and vision insurance.
• 401(k) retirement plan.
• Opportunities for professional development and advancement.
Why Join Hondo Holdings?
• Integrated Growth Platform – Gain exposure to diverse investment and operating businesses under one umbrella.
• Experienced Leadership – Work alongside seasoned professionals in finance, operations, and private markets.
• Career Development – Participate in a high-growth environment with opportunities to take on increasing responsibility.
• Culture of Innovation – Join a mission-driven team building enduring value through creative and disciplined execution.
Equal Opportunity Employer
Hondo Holdings is an equal opportunity employer. We are committed to building a diverse and inclusive workplace and do not discriminate on the basis of race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other characteristic protected by applicable law. All qualified applicants will receive consideration for employment without regard to any such characteristic.
We encourage candidates of all backgrounds to apply.