CFO

Cesna - Recruitment Experts Worldwide - Los Angeles, CA

Full-time - Senior

Los Angeles, CA

About the position

As the Head of Finance at our client's innovative music enthusiast company, you will play a pivotal role in leading financial operations and regulatory compliance, particularly focusing on security offerings and IPOs. This role requires extensive experience in IPOs, financial regulatory compliance, and a deep understanding of corporate finance and strategies. You will work closely with senior management and regulatory bodies to ensure adherence to regulatory requirements while contributing to the company's strategic vision and growth. In this position, you will oversee the filing of necessary documents, including financial statements, for Reg A offerings with the SEC. You will hold a regulatory leadership role in a Reg A Series LLC & Broker-Dealer Company, leading the IPO process and working closely with underwriters and investment banks. Specifically, we are seeking candidates with experience in business finance, corporate finance, and corporate strategies. Your responsibilities will include conducting in-depth analysis of variances in regulatory filings, incorporating accounting and regulatory issues, and presenting financial results to senior management and regulatory agencies. You will identify and address relevant regulatory requirements for the issuance of music assets via Reg A, managing regulatory notifications, comment letters, and day-to-day communications with counterparties. As a financial domain expert, you will partner with product stakeholders to ensure compliance with security offering obligations, updating policies and procedures as needed to meet regulatory requirements. You will provide accurate and timely reporting to senior management, business units, and external regulatory bodies, acting as the lead contact for questions related to SEC/FINRA rules and regulations. Additionally, you will oversee relevant security laws, regulations, and industry standards to ensure compliance with company operations.

Responsibilities

• Oversee the filing of necessary documents, including financial statements, for Reg A offering with the SEC.
• Lead the IPO process, working closely with underwriters and investment banks.
• Conduct in-depth analysis of variances in regulatory filings, incorporating accounting and regulatory issues.
• Present financial results to senior management and regulatory agencies.
• Identify and address relevant regulatory requirements for the issuance of music assets via Reg A.
• Manage regulatory notifications, comment letters, and day-to-day communications with counterparties.
• Partner with product stakeholders as a financial domain expert to ensure compliance with security offering obligations.
• Update policies and procedures as needed to meet regulatory requirements.
• Provide accurate and timely reporting to senior management, business units, and external regulatory bodies.
• Act as the lead contact for questions related to SEC/FINRA rules and regulations.
• Oversee relevant security laws, regulations, and industry standards to ensure compliance with company operations.

Requirements

• Direct prior experience with financial services regulators, including FINRA and the SEC.
• Prior experience with capital markets or issuance of securities, particularly IPOs.
• Ability to understand business needs and partner with stakeholders to develop pragmatic solutions.
• Excellent verbal and written communication skills, with the ability to convey complex financial concepts clearly.
• Strong organizational and project management skills, with the ability to manage complex projects in a fast-paced environment.
• Ability to develop and maintain effective working relationships with diverse groups of people within the organization and external stakeholders.