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.

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