OUTSOURCE YOUR
FinOp, CFO, PFO, POO
& CCO WITH SDDco GROUP

Are you interested in cutting operating costs while increasing flexibility and efficiency?

Outsourcing your FinOp, PFO, POO or CCO role with SDDco Group can optimize the growth of your business and is less expensive than hiring a full-time resource!

 

Would you like to mitigate risk and reduce regulatory exposure?

SDDco Group helps you to sustain a strong compliance infrastructure to support the prosperity of your business.

 

Are you in the FinTech space but not sure you need to be registered?

SDDco Group can steer you in the right direction monitoring your overall operational and compliance functions.

 

SDDco‐Regulatory Services (“SDDco-RS”), a division of SDDco Group, prepares regulatory exam support, registration and filings, cybersecurity support, mock exams, advertising review, annual review, compliance manual and AML testing for Broker-Dealers, RIA’s and FinTech financial firms. We can also provide a qualified FINRA Series 24 registered consultant to act as your firm’s designated Chief Compliance Officer.

 

S.D. Daniels P.C., (“SDDco-PC”) a division of SDDco Group, provides outsourced FinOp, accounting and tax solutions tailored to the needs of BD’s, RIA’s and FinTech financial firms. We can also provide your firm with a FinOp-CFO, whereby a licensed accounting professional can be retained to service your firm on a regular basis and manage a variety of financial and business operation responsibilities.

What are your pain points and/or services you are interested in?

(Select all that apply)

Regulatory
Rule Changes

Review and
Revise
Procedures

Cybersecurity
Testing

Web CRD
Administrator

Conducting
OSJ Exams

BD
Registration

BD NMA
Services

BD CMA
Services

RIA
Registration

Ongoing
Regulatory
Compliance

Outsourcing
CCO

Outsourcing
FINOP

Independent
AML Testing

RegTech
Compliance

Accounting &
Bookkeeping

Tax
Compliance
Services

Outsourcing
CFO for
Startups

Outsourcing
PFO/PPO

Submit and Speak with an SDDco Consultant.

If you have a back-office problem, we have the solution:

FinOp Reporting and Supervision

SDDco fulfills broker-dealer Financial Operations Principal roles. As FinOp (or as support to an in-house FinOp), we monitor net capital, prepare your filings, work with auditors and regulators and can serve as Chief Financial Officer.

Broker and Advisor Registrations

SDDco supports your ongoing adherence to industry rules. Broker and advisor services include assisting registrations and licenses, policies and procedures, disclosures, certifications, annual review and can act as your General Securities Principal or Chief Compliance Officer.

Ongoing Compliance

SDDco supports your ongoing adherence to industry rules. Broker and advisor services include assisting registrations and licenses, policies and procedures, disclosures, certifications, annual review and can act as your General Securities Principal or Chief Compliance Officer.

AML testing

SDDco minimizes risk. One of our CAMS Certified Anti-Money Laundering (AML) Specialist can conduct an independent review of a broker-dealer’s operations and AML supervisory systems, and provide, as required, a written report of findings and recommendations.

And many more!

 

Our team consists of former regulators, industry practitioners, CPAs, and other professionals providing solutions to the financial services industry for 30 years. Our business is based on an on-site model, where we visit our clients once a month in addition to regular, on-going support beyond that meeting.

WHAT WE DO

FinOp Services &
Supervision

Broker-Dealer
Membership &
Compliance

RIA Registration &
Compliance

AML Testing

Cybersecurity

Accounting &
Bookkeeping

Tax Compliance &
Consulting

Broker-Dealer
Hosting

Start-Ups &
Fin Tech

Cybersecurity

Accounting &
Bookkeeping

Tax Compliance &
Consulting

Broker-Dealer
Hosting

Start-Ups &
Fin Tech

WHO WE SERVE

“When you hire SDDco, you benefit from the talent and expertise of the entire firm rather than that of an individual practitioner more limited in scope and resources.”

 

SCOTT DANIELS

Chairman and Founder