Senior Compliance Analyst (SDCA)

Job Title: Senior Designated Compliance Analyst (SDCA) - Investment Compliance


Location: Hybrid - Sacramento, CA


Compensation: $100,000-$105,000 annually

Overview


We are seeking a Senior Designated Compliance Analyst (SDCA) to support the Compliance team in maintaining adherence to records retention program parameters and applicable regulations. The SDCA will play a key role in developing, implementing, and overseeing compliance policies, collaborating closely with business units to ensure practices meet regulatory requirements.


This role offers the opportunity to work in a dynamic environment where contributions directly impact compliance posture and operational success. The SDCA will also have authority to investigate and report regulatory compliance concerns, recommending corrective action where needed.

Responsibilities

• Monitor and analyze applicable federal and state regulations.
• Provide proactive guidance to business units on compliance-related matters.
• Develop and maintain corporate compliance policies in alignment with operational teams.
• Participate in annual and ongoing risk assessments, including complex risk areas.
• Oversee storage and secure destruction of records (paper and electronic).
• Collaborate with technology teams on systems that support document management.
• Support business continuity planning and data recovery initiatives.
• Develop compliance training content for staff.
• Prepare compliance reports for senior management and regulatory bodies.
• Represent the organization during external audits, exams, and regulatory interactions.
• Provide oversight on high-risk projects and initiatives.

Qualifications


Education

• Bachelor's degree or equivalent work experience.

Experience

• 7+ years of experience in financial services compliance, internal/external audit, operations, or compliance program development/evaluation.
• Background in financial services compliance including investment compliance

Knowledge & Skills

• Strong knowledge of compliance laws, regulations, and records retention practices.
• Proven ability to communicate effectively at a management level (oral and written).
• Strong organizational skills with ability to manage multiple priorities.
• Ability to work independently with minimal direction in a fast-paced, ambiguous environment.
• High integrity and sound judgment of priorities.
• Proficiency with Microsoft Word, Excel, PowerPoint, Adobe Acrobat Pro, and SharePoint.
• Experience with Microsoft Purview for data governance and compliance is preferred.

Preferred Certifications (not required)

• Credit Union Compliance Expert (CUCE)
• NAFCU Certified Compliance Officer (NCCO)
• Certified Bank Compliance Officer (CBCO)
• Certified Regulatory Compliance Manager (CRCM)
• Certified Records Manager (CRM)
• Information Governance Professional (IGP)
• Other related compliance and information governance certifications