CFO/Head of Finance and Compliance

4 weeks ago

Beverly Hills CA, United States cesna Full time
Job Description

Job Description

[Position]
Head of Finance and Compliance (CFO)

[About Our Client]
Our client is a diverse group of music enthusiasts, tech-savvy innovators, creative minds, and dedicated team players. We believe that each individual talent brings our collection to new heights. Our values are centered around four core principles:

1.Passion for Music: Music is at the heart of everything we do. While technology and trends may change, our love for great artists and songwriters will remain constant.

2.Global Reach, Local Knowledge: Music is a universal language. We strive for success through communication and collaboration, and it can come from anywhere and reach everywhere.

3.Innovation and Vision: We strive to push the boundaries and create the future through insightful information and imaginative thinking.

4.Empowered by Diversity: Like the music we serve, we believe that our differences make us stronger.
Every talent can find a place to belong and grow their career.

[Job Summary]
*****************

[Job Description]
?Will hold a regulatory leadership role in a Reg A Series LLC Company.
?Identify relevant regulatory requirements for the client and ensure ongoing compliance.
?Keep ahead of regulatory development that could impact business and deploy necessary
changes to maintain compliance in partnership with internal stakeholders.
?Stay abreast of evolving regulations and laws affecting the Fintech and blockchain industries, ensuring
the company’s compliance with relevant requirements.
?Create, manage, and continuously improve compliance training program to all employees on relevant
regulatory and legislative requirements.
?Lead-in-depth analysis of variances in Regulatory filing, incorporating the understanding of
accounting and regulatory issues and their impact, and present the financial results to Senior
Management and US Regulatory Agencies
?Oversee the filing of the necessary financial statements for Reg A offering with the SEC
?Manage regulatory notifications, comment letters, and other communications as required. Handle
day-to-day regulatory communications.
?Partner with Product Stakeholders to ensure compliance obligations are considered and built as part
of new product or expansion initiatives. Ensure appropriate documentation, including updating
policies and procedures as needed.
?Review and negotiate various agreements, including licensing agreements, partnerships, vendor
contracts, and user agreements.
?Accurate and timely reporting information to Senior management, the Business Unit and externally to
Regulatory bodies.
?Act as the lead contact on compliance questions related to rules and regulations of the SEC/FINRA
and other regulatory.
?Monitor and interpret relevant laws, regulations, and industry standards to ensure the company’s
operations are compliant. Keep abreast of changes in laws and regulations that may impact the
business.
?Conduct regular risk assessments to identify areas of potential compliance risk and develop strategies
to mitigate these risks.
?Conduct or oversee internal investigations into alleged violations of laws, regulations, or company
policies. Implement corrective actions as needed.
?Manage legal aspects of data privacy and security, ensuring compliance with data protection laws and
regulations.

[Qualifications]
?Direct prior experience with financial services regulators (including FINRA and the SEC)
?Ability to understand the business needs and partner with the business and control partners to create
pragmatic solutions.
?Excellent verbal and written communication skills
?Strong organizational and project management skills, ability to work independently, manage complex
projects and multitasks successfully in fast-paced and complex business environment.
?Prior experience at cryptocurrency or fintech.
?Qualified and licensed to practice law in California, ensuring comprehensive legal expertise to lead our
compliance efforts and uphold regulatory standards.
?Ability to develop, foster and maintain effective working relationships with diverse group of people
within the organization as well as with external stakeholders.
?Some knowledge of music royalties is a plus.

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