Careers/ Career Paths

At SDDco we know that the growth of our Firm rests on the success of our capable staff.

See Requirements below for particulars on paths within our organization.
See Licensures below for specs and testing on associated licenses.

Go to Open Positions to learn about current potential job opportunities at SDDco.

Accounting Requirements

Staff Accountant

BS degree in accounting required; MS degree in accounting preferred

Senior Accountant

BS degree in accounting required; MS degree in accounting preferred
FINRA Series 27 license desired
3+ years of industry experience

Manager

BS and/or MS degree in accounting required
FINRA Series 27 license required
CPA license desired
6+ years of industry experience

Senior Manager

BS and/or MS degree in accounting required
FINRA Series 27 license required
CPA license required
10+ years of industry experience 

Compliance Requirements 

Associate

BS degree in business or pre-law preferred

Senior Associate

BS degree in business or pre-law preferred
5+ years of job specific industry experience

Registration Manager

BS degree in business or pre-law preferred
7-10 years of job specific industry experience

Associate Director

BS/MS degree in business or pre-law preferred
10+ years of job specific industry experience
Series 24 license or equivalent preferred

Tax Requirements  

Tax Senior Accountant

BS degree in accounting required
CPA license preferred
3+ years of industry experience

Tax Supervisor

BS and/or MS degree in accounting required
CPA license preferred
6+ years of industry experience

Tax Manager

BS and/or MS degree in accounting required
CPA license required
10+ years of industry experience

All Partners and Principals

In additional to the defined technical ability, licenses and years of experience, Partner/Principal  responsibilities include client development, account management and staff supervision.

Licensures

Certified Public Accounting Licensure

From the web site:  http://www.op.nysed.gov/prof/cpa/cpalic.htm

New York State recognizes the Uniform CPA Examination, prepared and graded by the American Institute of Certified Public Accountants (AICPA).  In New York, the examination is administered by CPA Examination Services, a division of the National Association of State Boards of Accountancy.  All four parts of this computerized exam must be passed within eighteen (18) month:  Auditing & Attestation, Financial Accounting and Reporting, Regulation and Business Environment and Concepts.

SDDco Accounting and Tax professionals utilize CPA knowledge and licensure.

FINRA, the Financial Industry Regulatory Authority

FINRA requires licensed registration of the following: persons (associated with a member) who are actively engaged in the management of the member’s investment banking or securities business, including supervision, solicitation, conduct of business, or the training of persons associated with a member for any of these functions are designated as principals.  Such persons include sole proprietors, officers, partners, managers of offices of supervisory jurisdiction, and directors of corporations.  Below find registration categories and FINRA exams pertinent to services offered by the SDDco Group.

The FINRA Financial Operations Principal (Series 27)

This license is required of persons performing financial officer duties for FINRA member firms.  The Series 27 FinOp Qualification Exam tests a candidate’s knowledge of the statutory rules applicable to broker/dealer responsibility and recordkeeping along with the protections given investors under the terms of the Securities Investor Protection Act of 1970.

The 3.5 hour Series 27 exam covers topics including:  Broker/Dealer Financial Reporting, Net Capital Requirements, Customer Protection Rules, Municipal Securities Regulations, Federal Reserve Board Regulations, Uniform Practice Rules and other relevant regulations.

Broker/Dealers are required to enlist the services of an active Financial and Operations principal (“FinOp”).  This individual must have one year of direct or two-years of related experience to function as FinOp.

SDDco professionals performing FinOp duties or acting as Chief Financial Officer (CFO) of a FINRA member broker/dealer utilize this knowledge and licensure.

The FINRA General Securities Principal (Series 24)

This license is required of any person who manages or supervises the representative’s in investment banking, training, solicitation, as well as the general conduct of business operations.

The 3.5 hour Series 24 exam covers topics on Supervision of the following: Investment Banking, Trading and Market Making, Brokerage Office Operations, Sales, employees, along with the Regulatory Framework and a firm’s Compliance and Financial Responsibility.

Registered Investment Advisors (RIA) are required to designate a qualified Chief Compliance Officer (CCO) empowered to develop and enforce policies and procedures.  SDDco professionals acting as the designated CCO of an RIA utilize this knowledge and licensure.

The FINRA Compliance Official (Series 14)

This license is required of compliance officers employed by NYSE brokerage firms in the USA and persons who supervise 10 or more people performing compliance tasks.

The 3 hour exam test topics include trading in the primary and secondary markets, rules of the Municipal Securities Rulemaking Board (MSRB), financial responsibility, sales supervision, customer account supervision and compliance.

SDDco regulatory compliance consultants utilize this knowledge and licensure.

The FINRA General Securities Representative (Series 7)

This license is required of persons selling securities products with the exception of commodities and futures.  It is intended to safeguard the investing public by helping to ensure that GSRs are competent to do their job.

The 6 hour exam covers a broad range of investments including stocks, bonds, options, limited partnerships and investment company products.

SDDco Brokerage Advisers professionals and SDDco compliance consultants utilize this knowledge and licensure.

The Certified Anti-Money Laundering Specialist (CAMS Certification)

The professional title CAMS is granted by the Association of Certified Anti-Money Laundering Specialists (ACAMS) to anti-money laundering professionals who meet qualifications based on education, other certifications and work experience, and provide three professional references and  pass the CAMS examination.

The CAMS exam covers the risks and methods of money laundering and terrorism financing; compliance standards for anti-money laundering and combating the financing of terrorism; anti-money laundering compliance programs; and conducting or supporting anti-money laundering investigations.

S.D. Daniels & Company LLC AML independent testing professionals utilize this knowledge and certification.

FOCUSED SUPPORT

SDDco specializes
in two industries.

Our know-how and our network supports the financial services & tech industries.

We hold the right training and licensures to keep you in step and mitigate risk.

Our Credentials

SUCCESSFUL CLIENTS

SDDco supports
industry leaders.

We oversee back office functions so you can focus on your own clients.

Major banks, private funds, RIAs, BDs, and tech startups choose us.

Our Clients

TOP TALENT

SDDco is as good
as its great people.

Our CPAs, FinOps and
consultants are licensed,
experienced professionals.

Partner with us for start-ups and for ongoing accounting, compliance and tax work.

Our People

ONSITE OUTSOURCING

SDDco performs
services onsite.

Outsourced support with
SDDco isn’t out of sight.

We work in your space and for your team on a regular basis. Engage the expertise without the fulltime hire.

Our Praises

HIGH STANDARDS

SDDco observes
AICPA principles.

Our inaugural firm began
when two CPAs opened
a NYC office back in 1952.

We faithfully maintain the CPA standards: integrity, competency, confidentiality….

Our Group