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

SDDco Regulatory Services LLC

 

SDDco Regulatory Services LLC (SDDco-RS) of The SDDco Group (SDDco) delivers skilled outsourced professional support to the financial services industry. SDDco-RS provides on- and off- site support to SEC registered investment advisers and FINRA member broker-dealers, facilitating year-round compliance with applicable regulations and rules. To learn more visit: sddco.com/broker-dealer-membership-and-compliance or sddco.com/ria-registration-and-compliance

Licensing and Registration Associate

 

Job Description

 

Entry Level Licensing and Registration Associate for a Securities Industry Regulatory consulting firm to provide support to the Firm’s registration and compliance group. One to three years of related experience a plus.

 

Responsibilities include:

 

• Advising clients and servicing registration inquiries via phone and email

• Processing Uniform Forms U-4 and U-5, Form BD, Form BR, Form ADV and various state forms

• Assisting in the development and maintenance of WSPs, AML WSPs, Continuing Education Plans and Business Continuity Plans.

• Assisting in FINRA Licensing Examination scheduling

• Assisting consultants to manage client accounts

• Drafting client communications in collaboration with management

• Coordinating meetings and special projects

 

Applicant should be able to multi-task and work in a fast paced environment. Working knowledge of industry rules and regulations; prior broker-dealer and registration experience a plus.

TAX DEPARTMENT

(No current openings)

ACCOUNTING DEPARTMENT

(No current openings)

ADMINISTRATION DEPARTMENT

(No current openings)