Golden 1 Credit Union
Senior Designated Compliance Analyst SDCA - Investment Compliance
Golden 1 Credit Union, Sacramento, California, United States, 95828
Senior Designated Compliance Analyst SDCA - Investment Compliance
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Senior Designated Compliance Analyst SDCA - Investment Compliance
role at
Golden 1 Credit Union
Overview The Senior Designated Compliance Analyst (SDCA) will support the VP of Compliance in maintaining adherence to applicable G1's Records Retention program parameters and corresponding regulations. The Analyst will play a key role in the development, implementation, and Second Line of Defense (2LOD) oversight of Records Management compliance policies. This position will collaborate closely with the First Line of Defense (1LOD) business units to ensure work practices meet regulatory requirements and uphold the credit union\'s high standards. This position offers an opportunity to work in a dynamic and fast-paced environment, where contributions will directly impact G1’s compliance posture and operational success. The SDCA has the authority to investigate and report regulatory compliance concerns or findings to management and make recommendations for corrective action.
Tasks, Duties, Functions
Monitor and analyze applicable regulations at the federal and state levels.
Provide proactive guidance to business units (1LOD) through ongoing support, projects, and marketing reviews.
Provide subject matter expertise in the development of corporate compliance policies and ensure alignment with 1LOD teams.
Actively participate in annual and ongoing risk assessment campaigns as a Subject Matter Expert, including complex risk areas, providing effective check & challenge to 1LOD teams.
Oversee the storage and secure destruction of records according to the Retention Schedule (paper and electronic).
Provide guidance to all lines of defense on the proper handling, storage, and disposal of records.
Collaborate with the Enterprise Applications team on the installation of hardware and software that supports the Electronic Document Management System (EDMS).
Work closely with First- and Second-line teams throughout Golden 1 to determine the best business process for the systematic preservation of the total life cycle of records using both manual and automated methods.
Provide policy and procedural support for business continuity planning and data recovery purposes (Corporate Policies 2:08 Backup and Recovery and 3:10 Business Continuity Planning).
Assist with developing compliance training content to ensure staff understanding and adherence to applicable regulations consistent with the Credit Union’s risk tolerance.
Participate in the preparation of compliance reports for senior management and regulatory bodies.
Understand core business activities, risks, and products to effectively guide 1LOD teams and support the Credit Union’s Compliance Program.
Collaborate with other compliance teams to ensure harmony in approach to compliance matters and processes.
Play an active role in the presentation of the Credit Union’s evidence of compliance during external exams, audits, and other regulatory interactions.
Provide guidance and support on projects and initiatives, with a focus on those which pose a higher level of compliance risk and complexity.
Physical Skills, Abilities, and Exertion
Effective oral and written communication skills required to prepare and present recommendations, perform analysis and accomplish other functions as required.
Must possess sufficient manual dexterity to operate an on-line computer terminal and other standard office equipment, such as financial calculators, personal computer, facsimile machine and telephone.
Organizational Contacts & Relationships
INTERNAL: All levels of management and staff.
EXTERNAL: Vendors and peer groups, legal counsel, regulators.
Qualifications
EDUCATION: Bachelor’s degree or equivalent work experience.
EXPERIENCE: 7+ years of experience in Financial Services with consumer protection regulatory compliance, internal audit, external audit, financial services operations, or consumer protection program development/evaluation.
KNOWLEDGE / SKILLS:
Extensive knowledge of compliance laws, rules, regulations, particularly those concerning finance and retention practices.
Ability to communicate at a management level (oral and written) and work well with others in a dynamic team environment.
Ability to work independently with minimal direction and exhibit initiative.
Organizational skills and ability to manage multiple contemporaneous matters.
Comfortable operating in ambiguous environments and with a strong sense of priorities and integrity.
Proficiency in Microsoft Word, Excel, PowerPoint, Adobe Acrobat Pro and SharePoint.
Experience with Microsoft Purview for data governance, compliance, and information protection.
Physical Requirements
Prolonged sitting with occasional mobility; corrected vision and normal hearing range (hearing aid provided if needed).
Ability to lift 15 lbs as required.
Occasional department movements to interact with staff and accomplish tasks.
Travel by car or plane may be required to visit offsite locations.
Licenses / Certifications Certification preferred, but not required; examples include CUCE, NCCO, CBCO, CRCM, CIP, CIPP/US, CIPM, CIPT, CRM, IGP, CIGO.
THIS JOB DESCRIPTION IN NO WAY STATES OR IMPLIES THAT THESE ARE THE ONLY DUTIES TO BE PERFORMED. OTHER DUTIES MAY be required by the supervisor within the employee\'s knowledge, skill, and ability.
REV. 06/27/2026
#J-18808-Ljbffr
Senior Designated Compliance Analyst SDCA - Investment Compliance
role at
Golden 1 Credit Union
Overview The Senior Designated Compliance Analyst (SDCA) will support the VP of Compliance in maintaining adherence to applicable G1's Records Retention program parameters and corresponding regulations. The Analyst will play a key role in the development, implementation, and Second Line of Defense (2LOD) oversight of Records Management compliance policies. This position will collaborate closely with the First Line of Defense (1LOD) business units to ensure work practices meet regulatory requirements and uphold the credit union\'s high standards. This position offers an opportunity to work in a dynamic and fast-paced environment, where contributions will directly impact G1’s compliance posture and operational success. The SDCA has the authority to investigate and report regulatory compliance concerns or findings to management and make recommendations for corrective action.
Tasks, Duties, Functions
Monitor and analyze applicable regulations at the federal and state levels.
Provide proactive guidance to business units (1LOD) through ongoing support, projects, and marketing reviews.
Provide subject matter expertise in the development of corporate compliance policies and ensure alignment with 1LOD teams.
Actively participate in annual and ongoing risk assessment campaigns as a Subject Matter Expert, including complex risk areas, providing effective check & challenge to 1LOD teams.
Oversee the storage and secure destruction of records according to the Retention Schedule (paper and electronic).
Provide guidance to all lines of defense on the proper handling, storage, and disposal of records.
Collaborate with the Enterprise Applications team on the installation of hardware and software that supports the Electronic Document Management System (EDMS).
Work closely with First- and Second-line teams throughout Golden 1 to determine the best business process for the systematic preservation of the total life cycle of records using both manual and automated methods.
Provide policy and procedural support for business continuity planning and data recovery purposes (Corporate Policies 2:08 Backup and Recovery and 3:10 Business Continuity Planning).
Assist with developing compliance training content to ensure staff understanding and adherence to applicable regulations consistent with the Credit Union’s risk tolerance.
Participate in the preparation of compliance reports for senior management and regulatory bodies.
Understand core business activities, risks, and products to effectively guide 1LOD teams and support the Credit Union’s Compliance Program.
Collaborate with other compliance teams to ensure harmony in approach to compliance matters and processes.
Play an active role in the presentation of the Credit Union’s evidence of compliance during external exams, audits, and other regulatory interactions.
Provide guidance and support on projects and initiatives, with a focus on those which pose a higher level of compliance risk and complexity.
Physical Skills, Abilities, and Exertion
Effective oral and written communication skills required to prepare and present recommendations, perform analysis and accomplish other functions as required.
Must possess sufficient manual dexterity to operate an on-line computer terminal and other standard office equipment, such as financial calculators, personal computer, facsimile machine and telephone.
Organizational Contacts & Relationships
INTERNAL: All levels of management and staff.
EXTERNAL: Vendors and peer groups, legal counsel, regulators.
Qualifications
EDUCATION: Bachelor’s degree or equivalent work experience.
EXPERIENCE: 7+ years of experience in Financial Services with consumer protection regulatory compliance, internal audit, external audit, financial services operations, or consumer protection program development/evaluation.
KNOWLEDGE / SKILLS:
Extensive knowledge of compliance laws, rules, regulations, particularly those concerning finance and retention practices.
Ability to communicate at a management level (oral and written) and work well with others in a dynamic team environment.
Ability to work independently with minimal direction and exhibit initiative.
Organizational skills and ability to manage multiple contemporaneous matters.
Comfortable operating in ambiguous environments and with a strong sense of priorities and integrity.
Proficiency in Microsoft Word, Excel, PowerPoint, Adobe Acrobat Pro and SharePoint.
Experience with Microsoft Purview for data governance, compliance, and information protection.
Physical Requirements
Prolonged sitting with occasional mobility; corrected vision and normal hearing range (hearing aid provided if needed).
Ability to lift 15 lbs as required.
Occasional department movements to interact with staff and accomplish tasks.
Travel by car or plane may be required to visit offsite locations.
Licenses / Certifications Certification preferred, but not required; examples include CUCE, NCCO, CBCO, CRCM, CIP, CIPP/US, CIPM, CIPT, CRM, IGP, CIGO.
THIS JOB DESCRIPTION IN NO WAY STATES OR IMPLIES THAT THESE ARE THE ONLY DUTIES TO BE PERFORMED. OTHER DUTIES MAY be required by the supervisor within the employee\'s knowledge, skill, and ability.
REV. 06/27/2026
#J-18808-Ljbffr