AT SDDco WE KNOW THAT THE GROWTH OF OUR FIRM RESTS ON THE SUCCESS OF OUR STAFF.

Our accounting professionals provide outsourced accounting, FINOP (series 27) and bookkeeping services, prepare and submit regulatory and financial reports and assist clients during regulatory reviews.

Our compliance consultants support your in-house compliance officer, prepare regulatory exam support, registration and filings, cybersecurity, outsourced CCO, mock exams, advertising review, annual review, compliance manual and AML testing.

Our tax professionals prepare tax return filings and provide tax planning advice to businesses and high net worth individuals to develop strategies, plan for the future, and provide guidance to the ever-changing tax codes. They also represent our clients before the IRS and other tax authorities.

OUR MISSION

To simplify the startup and growth of our clients’ business offering invaluable insights and industry leading expertise.

WHY JOIN OUR TEAM?

When you work with us, you reap the many rewards that a small successful specialty firm can offer. You get focused training in a sought after niche, satisfying work as our clients’ valued advocate and competitive salary with a broad benefits package.

OUR CULTURE

SDDco knows that talent is retained by considering all that our people expect from the workplace. Count on a friendly, cooperative work environment with open door access to all senior management, a manageable work schedule, quality benefits and grooming for your personal advancement. As far as creature comforts go, enjoy a comfortable workplace and monthly appreciation luncheons and company sponsored events.

REGULATORY COMPLIANCE DEPARTMENT

IA Compliance Consultant – Associate Director

Opportunity

Seeking a compliance consultant with Investment Advisory(IA) expertise for a Securities Industry Regulatory consulting firm to establish and/or maintain the compliance program for IA clients.

Company

The SDDco Group (“SDDco”) is a CPA firm, formed in 1952, known for providing expert support to the financial services industry. Our client base includes broker-dealers, investment advisers, privately held funds, and the US arms of foreign banks. SDDco services include accounting, bookkeeping, regulatory registrations, ongoing compliance consulting, and tax preparation and advisory.

Role:

  • Establish and/or maintain a compliance program
  • Drafting Compliance Manuals and Code of Ethics Procedures
  • Assist with annual reviews
  • Drafting Form ADV amendments
  • Review marketing materials
  • Assist in all regulatory examinations and inquires
  • Participating in SEC mock exams

Requirements:

  • 3-5 years of direct IA experience
  • Demonstrated understanding of the Investment Advisors Act of 1940
  • Experience in various types of IA Business lines a plus
  • Solid analytical and research skills
  • Bachelor’s degree in related field
  • Excellent communication skills (written and verbal)
  • Strong attention to detail
  • Highly organized
  • Broker/Dealer Compliance Experience a plus

TAX DEPARTMENT

(No current openings)

ACCOUNTING DEPARTMENT

Staff Accountant – Financial Services Focus

Opportunity

Respected CPA & consulting firm in Midtown NYC specializing in the securities industry seeks a STAFF ACCOUNTANT with 1-3 years of experience. Financial services accounting experience and a FINRA Series 27 license is a plus, but not required. Big 4 experience or equivalent required.

Company

The SDDco Group (“SDDco”) is a CPA firm, formed in 1952, known for providing expert support to the financial services industry. Our client base includes broker-dealers, investment advisers, privately held funds, and the US subsidiaries of foreign banks. SDDco services include accounting, bookkeeping, regulatory registrations, ongoing compliance consulting, and tax preparation and advisory.

Role:

  • Preparation of clients’ monthly books and records
  • Preparation of monthly financial data and management reports
  • Assist with month-end closings
  • Assist with preparation of regulatory filings for broker/dealers
  • Assist with preparation of annual financial statements

Requirements:

  • BS/MS Accounting degree
  • Minimum GPA of 3.0
  • FINRA Series 27 license a plus; willingness to obtain within 1 year of hire
  • Working knowledge of QuickBooks and Excel
  • Solid knowledge of US GAAP
  • Self-starter with reliable follow-through
  • Good communication skills

Benefits

Competitive Salary and Benefits:
Health plans, LTD insurance, Life Insurance, Employer contribution 401kplan, PTO and remote day program, Flex Spending & Commuter Program

ADMINISTRATION DEPARTMENT

(No current openings)