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CFO/Head of Finance and Compliance in United States

Summary

The Head of Finance and Compliance (CFO) will hold a regulatory leadership role in a Reg A Series LLC Company, ensuring ongoing compliance with relevant requirements, staying abreast of evolving regulations affecting the Fintech and blockchain industries, creating and managing compliance training programs, overseeing financial statements filings, partnering with product stakeholders to ensure compliance obligations are considered, reviewing and negotiating various agreements, accurately and timely reporting information, acting as the lead contact on compliance questions related to SEC/FINRA and other regulatory bodies, monitoring and interpreting relevant laws, regulations, and industry standards, conducting regular risk assessments, internal investigations into alleged violations of laws, regulations, or company policies, implementing corrective actions as needed, managing legal aspects of data privacy and security, and ensuring compliance with data protection laws and regulations.

Responsibilities

• 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