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    CFO/Head of Finance and Compliance - Beverly Hills, United States - cesna

    cesna
    cesna Beverly Hills, United States

    1 week ago

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    Description

    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:

    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.

    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.

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

    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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