Head of Finance and Compliance

Summary

The job involves regulatory leadership in a music-focused fintech company, ensuring compliance with various regulations and laws affecting the Fintech and blockchain industries. The role requires direct experience with financial services regulators, excellent communication skills, strong organizational abilities, prior experience in cryptocurrency or fintech, and a California law license.

Requirements

• Direct prior experience with financial services regulators (including FINRA and the SEC)
• 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

Responsibilities

• Identify relevant regulatory requirements for Musicow and ensure ongoing compliance
• Keep ahead of regulatory development that could impact business and deploy necessary changes to maintain compliance
• 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

Preferred Qualifications

Some knowledge of music royalties is a plus