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

Broker/Dealer Compliance -Associate Director

Opportunity

Seeking a compliance consultant with Broker/Dealer expertisefor a Securities Industry Regulatory consulting firm to establish and/or maintain the compliance program for Broker/Dealer 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:

  • Work closely on compliance matters with client personnel primarily at client locations
  • Assist broker-dealer (“BD”) clients through regulatory examinations and respond to regulatory inquiries
  • Advise clients regarding compliant business practices (sales, trading, banking, research, etc.)
  • Write, edit and maintain procedures manuals including WSPs, AML Programs, Training Plans, etc.
  • Conduct Firm reviews and mock examinations
  • Deliver annual compliance meetings
  • Create BD and Client Relationships via networking with our clients and contacts
  • Conduct branch office inspections

Requirements:

  • 5+ years relevant experience in BD regulatory compliance
  • Detailed knowledge of FINRA rules and BD compliance
  • Series 7 & 24 licensed required or the ability to obtain within 3 months of hire
  • Bachelor’s degree in related field
  • Ability to work independently, multi-task, manage projects and time effectively
  • Excellent communication skills, interpersonal skills, and a strong presence
  • Strong understanding of the investment banking and institutional brokerage business
  • Adaptable personality (to work closely with a highly diverse client base)
  • Expect 10-15% travel beyond the New York metropolitan area
  • Knowledge of the Investment Advisors Act of 1940 a plus

Principal Operations Associate

Opportunity

Respected CPA & consulting firm in Midtown specializing in the securities industry seeks a Principal Operations Associate with experience servicing financial services firms. Our client base includes US broker-dealers, investment advisers, commodity brokers, privately held funds, investment arms of foreign banks and startup firms with a focus on Fintech.

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 subsidiaries of foreign banks. SDDco services include accounting, bookkeeping, regulatory registrations, ongoing compliance consulting, and tax preparation and advisory

Role:

This is a supervisory role for operations within a broker-dealer, ensuring that all firm operations are compliant with FINRA’s rules and regulations. Success in this position requires outstanding communication and partnering skills along with the ability to work both independently and as part of a team. The Principal Operations Associate will report directly to the Director of Operations and will support the Director with preparing monthly and quarterly reports that monitor the day to day operations of the firm’s clients

Requirements:

  • BS in Finance or Business Administration
  • 2-4 years of back/middle office operations experience
  • Experience in documenting and monitoring defined procedures within a broker-dealer or investment firm
  • Detailed knowledge of transactions in equity and/or fixed income securities
  • Understanding the life-cycle of a trade
  • Familiar with the day to day operations and procedures associated with firms that offer Private Placement, Merger & Acquisition, and 15a-6 services
  • Experience with meeting and speaking with C-Level executives
  • Proven ability to work as part of a team environment and as an individual contributor
  • Ability to adapt quickly to new demands and challenges
  • Ability to handle multiple tasks simultaneously
  • Ability to effectively become a team leader
  • Strong Excel background
  • Series 27 license preferred or willing to take and pass the exam within 3 months of hire
  • Must be willing to travel within New York City as well as out of state to meet with clients.
  • Degree – Finance, Business Administration

Accounting Manager

Opportunity

A well-established CPA & consulting firm in Midtown NYC seeks an ACCOUNTING MANAGER with 6-10 years of overall accounting experience, a minimum of 5 years servicing US broker-dealers/investment-advisers a plus.

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 subsidiaries of foreign banks. SDDco services include accounting, bookkeeping, regulatory registrations, ongoing compliance consulting, and tax preparation and advisory

Role:

  • Oversee client accounts and supervise staff
  • Maintain clients’ general ledger, including bank recs; payroll processing; depreciation; accruals and prepaids
  • Prepare annual financial statements and footnotes
  • Assist clients with their annual certified audit and FINRA and SEC regulatory examinations
  • Prepare monthly/quarterly FOCUS reports
  • Calculate monthly net capital, including calculation of non-allowable assets, haircut charges, aggregate indebtedness, minimum & excess net capital

Requirements:

  • CPA license is required
  • ActiveSeries27FinOplicenseispreferredbutnotrequiredatthetimeofhire.
  • Ability to manage others, meet deadlines
  • Proficiency in QuickBooks and Microsoft Excel
  • Excellent verbal and written communications skills

Benefits:

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

TAX DEPARTMENT

(No current openings)

ACCOUNTING DEPARTMENT

(No current openings)

ADMINISTRATION DEPARTMENT

(No current openings)