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

Registration/Compliance Analyst

 

Job Description

 

Registration/Compliance Analyst for a Securities Industry Regulatory consulting firm to provide support to the Firm’s registration and compliance group.

 

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.

Compliance Associate

 

Job Description

 

Your role will include, but will not be limited to, the following:

 

• Support the activities of the Firm’s Consultants:

• Development and maintenance of written policies and procedures

• Development and maintenance of Business Continuity Plans and Continuing Education Plans

• Drafting materials for annual compliance meetings

• Drafting of CEO Certification Reports

• Drafting of Broker-Dealer Annual Reviews

• Assisting clients with FINRA Sales Practice Exams

 

• Support the production and filing of FINRA and SEC Registration Applications:

• Drafting of Business Plans, Organizational Charts, Officer Biographies, and other documents needed for the filing

• Participating in calls/meetings with clients and responding to inquiries/requests from those clients

• Taking responsibility for ensuring all members of the working group are current on project progress and status

 

• Become knowledgeable in all aspects of our consulting business with an eye towards becoming a consultant

 

Qualifications

 

• Bachelor’s Degree (Finance or related discipline preferred)

• 2 to 3 years compliance experience at a broker/dealer

• Some exposure to FINRA in an examination setting a plus

• Series 7 preferred; willingness to obtain within 6 months of hire a must

TAX DEPARTMENT

(No current openings)

ACCOUNTING DEPARTMENT

Senior Accountant with Financial Services Focus

 

Opportunity

 

A well-established CPA & consulting firm in Midtown NYC seeks a SENIOR ACCOUNTANT with 3-5 years of financial services accounting experience. FINRA Series 27 license is a plus but not required.

 

Company

 

The SDDco Group (“SDDco”) is an esteemed 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

• Preparation of monthly financial reports

• Calculation of broker/dealer client firm’s regulatory net capital

• Assist with preparation of FOCUS filings for broker/dealers

• Assist with preparation of annual financial statements

• Assisting client with annual audit and regulatory exams

 

Requirements:

• BS/MS Accounting degree

• CPA license a plus

• FINRA Series 27 license a plus; willingness to obtain within 1 year of hire a must

• 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 pension plan

• PTO and remote day program

• Flex Spending & Commuter Program

Staff Accountant with Financial Services Focus

 

Opportunity

 

Mid-town CPA & consulting firm in NYC 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 an esteemed 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

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

 

Requirements:

• BS/MS Accounting degree
• Minimum GPA of 3.0
• 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 pension plan

• PTO and remote day program

• Flex Spending & Commuter Program

ADMINISTRATION DEPARTMENT

(No current openings)