Associate General Counsel, Financial Services Group

About Leon Capital Group

Founded in 2006 by Fernando De Leon, Leon Capital Group is a Dallas-based diversified holding company that combines the best attributes of family office flexibility and institutional quality investing, with the singular objective of durable compound interest. What began as a modest, privately-owned real estate development company has since evolved into a multi-industry enterprise spanning financial services, healthcare, real estate, and technology, with $10B in cumulative assets across 25 platforms and 400 acquired businesses.

Leon is not a private equity fund. The firm conceives, builds, owns, and operates companies, with frontline working principals who are intensely focused on protecting margins and continuously enhancing value. For professionals who join LCG, that means meaningful scope, long-term alignment, and the resources of a well-capitalized institution without the constraints of a fund-driven timeline.

Position Overview

Leon Capital Group is seeking an Associate General Counsel, Financial Services Group to support the legal, regulatory, and transactional functions for a number of business entities within its Financial Services Group ("FSG"), including its wealth management, insurance and reinsurance, consumer and corporate credit, and asset management businesses.

This is a high-ownership legal role for an attorney who is ready to move beyond a narrowly defined practice and take on substantive responsibility across a complex, multi-entity financial services platform. The Associate General Counsel will work directly with senior legal and executive leadership, owning meaningful work from day one while contributing to the FSG's mission of remaining structurally sound, regulator-ready, and positioned to scale.

The right candidate is commercially oriented, exercises sound independent judgment, and brings a practical approach to legal and regulatory challenges that enables the business to move with speed and confidence. This role is particularly well-suited for an attorney with a meaningful foundation 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:

• Support all legal and regulatory matters for the FSG, including RIA and insurance/reinsurance entities.
• Assist in designing, implementing, and continuously refining compliance frameworks aligned with SEC and state regulatory requirements.
• Support preparation for and response to SEC examinations, regulatory inquiries, and audits.
• Ensure adherence to the Investment Advisers Act and related fiduciary and disclosure obligations.
• Assist in managing relationships with regulators, including the SEC, FINRA, and state insurance authorities.

Legal Strategy & Business Operations:

• Act as a trusted advisor to FSG 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:

• Support 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:

• Support the establishment and maintenance of strong corporate governance practices across FSG entities.
• Assist in identifying and mitigating legal, regulatory, and reputational risks.
• Contribute to the development of internal policies, procedures, and training to ensure a culture of compliance.
• Coordinate with outside counsel on disputes, investigations, and litigation matters as directed.

Platform Build & Infrastructure:

• Contribute to building and scaling the legal and compliance function supporting the FSG.
• Partner with leadership to support expansion into new products, geographies, and regulatory regimes.
• Help ensure legal infrastructure keeps pace with business complexity and growth.

Qualifications:

Required:

• JD from an accredited law school; active bar membership.
• 5–7 years of legal experience, with meaningful exposure to financial services law; equivalent combination of education and experience will also be considered.
• Working knowledge of RIA regulation, SEC compliance, and investment adviser frameworks.
• Experience supporting regulatory examinations, inquiries, or enforcement matters.
• Understanding of corporate governance and compliance program fundamentals.

Preferred:

• In-house experience within an investment manager, financial institution, broker-dealer, or insurance platform.
• Exposure to insurance or reinsurance regulatory environments.
• Background supporting multi-entity or platform-based businesses.
• Experience with ERISA, broker-dealer regulation, or financial services transactional matters.

What We Are Looking For

LCG is seeking an attorney who is commercially oriented, intellectually curious, and ready to take ownership of meaningful legal work inside a fast-moving, founder-led organization. The Associate General Counsel who succeeds here will bring strong technical judgment, a practical approach to problem-solving, and the ambition to grow into a senior legal leadership role as the FSG platform scales.

This is a ground-floor opportunity to build something significant inside a well-capitalized firm with a long-term ownership mindset. Candidates who are looking for meaningful scope, direct access to senior leadership, and a clear path to expanded responsibility should apply.