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 Associate Director

 

Seeking an Investment Advisor (IA) Associate Director for a Securities Industry Regulatory consulting firm to establish and/or maintain the compliance program for IA clients.

 

Job Description:

  • 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

 

Qualifications:

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

TAX DEPARTMENT

(No current openings)

ACCOUNTING DEPARTMENT

(No current openings)

ADMINISTRATION DEPARTMENT

(No current openings)